CRITCHFIELD GREGORY C 4
4 · SERA PROGNOSTICS, INC. · Filed Jul 21, 2021
Insider Transaction Report
Form 4
CRITCHFIELD GREGORY C
Director
Transactions
- Conversion
Class A Common Stock
2021-07-19+11,880→ 761,488 total - Conversion
Series A-2 Preferred Stock
2021-07-19−34,383→ 0 total→ Class A Common Stock (34,383 underlying) - Conversion
Series B-2 Preferred Stock
2021-07-19−11,880→ 0 total→ Class A Common Stock (11,880 underlying) - Conversion
Series D Preferred Stock
2021-07-19−28,730→ 0 total→ Class A Common Stock (28,730 underlying) - Conversion
Class A Common Stock
2021-07-19+34,383→ 744,355 total - Conversion
Class A Common Stock
2021-07-19+5,253→ 749,608 total - Conversion
Class A Common Stock
2021-07-19+4,727→ 766,215 total - Conversion
Class A Common Stock
2021-07-19+28,730→ 794,945 total - Conversion
Series B-1 Preferred Stock
2021-07-19−5,253→ 0 total→ Class A Common Stock (5,253 underlying) - Conversion
Series C-1 Preferred Stock
2021-07-19−4,727→ 0 total→ Class A Common Stock (4,727 underlying)
Footnotes (7)
- [F1]The Issuer's Series A-2 Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $5.20 per share. The Series A-2 Preferred Stock has no expiration date.
- [F2]Includes 630,832 shares of Class A Common Stock directly held by The Gregory C. Critchfield & Trust. Dr. Critchfield is a Trustee of the Gregory C. Critchfield & Trust. Dr. Critchfield, in such capacity, may be deemed to indriectly beneficially own the securities owned by the trust except to the extent of his pecuniary interest therein, if any.
- [F3]The Issuer's Series B-1 Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $5.20 per share. The Series B-1 Preferred Stock has no expiration date.
- [F4]The Issuer's Series B-2 Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $8.32 per share. The Series B-2 Preferred Stock has no expiration date.
- [F5]The Issuer's Series C-1 Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $12.37 per share. The Series C-1 Preferred Stock has no expiration date.
- [F6]The Issuer's Series D Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $9.02 per share. The Series D Preferred Stock has no expiration date.
- [F7]The shares of preferred stock automatically converted into the Issuer's Class A Common Stock in accordance with the Issuer's Restated Certificate of Incorporation, as amended, immediately upon completion of the Issuer's initial public offering, which became effective on July 19, 2021.