Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| SERA PROGNOSTICS, INC.SERA · Entity 304 | Director | July 10, 2026 | July 14, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
SERA PROGNOSTICS, INC.
Report date July 10, 2026 · Filed July 14, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 81,691 |
Ending reported balance
After 2026-07-10 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-07-10 · Grant · Acquired 22,426 · Balance 79,431 F1: Each share is represented by a restricted stock unit ("RSU") granted pursuant to the issuer's Non-Employee Director Compensation Policy and its 2021 Equity Incentive Plan. These RSUs vest on the earlier of July 10, 2027 or the date of the issuer's next Annual Meeting of Stockholders, subject to the Reporting Person continuing to provide services to the issuer. Row 2 · 2026-07-10 · Grant · Acquired 2,260 · Balance 81,691 F2: Each share is represented by an additional RSU granted by the Board of Directors. These RSUs vest on the earlier of July 10, 2027 or the date of the issuer's next Annual Meeting of Stockholders, subject to the Reporting Person continuing to provide services to the issuer. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.97 · Expires 2036-07-10 | Direct | 34,494 |
Reported balance
After 2026-07-10 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-07-10 · Grant · Acquired 34,494 · Balance 34,494 F3: Consists of stock options granted pursuant to the issuer's Non-Employee Director Compensation Policy and its 2021 Equity Incentive Plan. These stock options vest over one year as follows: 1/12 of the original grant amount vests in monthly installments for one year following the grant date; provided, however, that the stock options shall be fully vested on the earlier of the first anniversary of the grant date or the date of the issuer's next Annual Meeting of Stockholders, subject to the Reporting Person continuing to provide services to the issuer. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.97 · Expires 2036-07-10 | Direct | 3,477 |
Reported balance
After 2026-07-10 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-07-10 · Grant · Acquired 3,477 · Balance 3,477 F4: These stock options vest over one year as follows: 1/12 of the original grant amount vests in monthly installments for one year following the grant date; provided, however, that the stock options shall be fully vested on the earlier of the first anniversary of the grant date or the date of the issuer's next Annual Meeting of Stockholders, subject to the Reporting Person continuing to provide services to the issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share is represented by a restricted stock unit ("RSU") granted pursuant to the issuer's Non-Employee Director Compensation Policy and its 2021 Equity Incentive Plan. These RSUs vest on the earlier of July 10, 2027 or the date of the issuer's next Annual Meeting of Stockholders, subject to the Reporting Person continuing to provide services to the issuer.
F2: Each share is represented by an additional RSU granted by the Board of Directors. These RSUs vest on the earlier of July 10, 2027 or the date of the issuer's next Annual Meeting of Stockholders, subject to the Reporting Person continuing to provide services to the issuer.
F3: Consists of stock options granted pursuant to the issuer's Non-Employee Director Compensation Policy and its 2021 Equity Incentive Plan. These stock options vest over one year as follows: 1/12 of the original grant amount vests in monthly installments for one year following the grant date; provided, however, that the stock options shall be fully vested on the earlier of the first anniversary of the grant date or the date of the issuer's next Annual Meeting of Stockholders, subject to the Reporting Person continuing to provide services to the issuer.
F4: These stock options vest over one year as follows: 1/12 of the original grant amount vests in monthly installments for one year following the grant date; provided, however, that the stock options shall be fully vested on the earlier of the first anniversary of the grant date or the date of the issuer's next Annual Meeting of Stockholders, subject to the Reporting Person continuing to provide services to the issuer.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| July 10, 2026 Filed Jul 14, 2026 22:43 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | GrantStock Option (right to buy) · Derivative | 3,477 | $0.00 Strike: $1.97 | $0.00 |
DisclosureSEC source: 0001871555-26-000002 · ownership.xml · derivative · entry 4 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,477 Underlying: Class A Common Stock · 3,477 shares Expires 2036-07-10 F4 · derivative.exercise_date: These stock options vest over one year as follows: 1/12 of the original grant amount vests in monthly installments for one year following the grant date; provided, however, that the stock options shall be fully vested on the earlier of the first anniversary of the grant date or the date of the issuer's next Annual Meeting of Stockholders, subject to the Reporting Person continuing to provide services to the issuer. Read SEC document |
| July 10, 2026 Filed Jul 14, 2026 22:43 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | GrantStock Option (right to buy) · Derivative | 34,494 | $0.00 Strike: $1.97 | $0.00 |
DisclosureSEC source: 0001871555-26-000002 · ownership.xml · derivative · entry 3 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 34,494 Underlying: Class A Common Stock · 34,494 shares Expires 2036-07-10 F3 · derivative.exercise_date: Consists of stock options granted pursuant to the issuer's Non-Employee Director Compensation Policy and its 2021 Equity Incentive Plan. These stock options vest over one year as follows: 1/12 of the original grant amount vests in monthly installments for one year following the grant date; provided, however, that the stock options shall be fully vested on the earlier of the first anniversary of the grant date or the date of the issuer's next Annual Meeting of Stockholders, subject to the Reporting Person continuing to provide services to the issuer. Read SEC document |
| July 10, 2026 Filed Jul 14, 2026 22:43 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | GrantClass A Common Stock | 2,260 | $0.00 | $0.00 |
DisclosureSEC source: 0001871555-26-000002 · ownership.xml · nonDerivative · entry 2 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 81,691 F2 · shares: Each share is represented by an additional RSU granted by the Board of Directors. These RSUs vest on the earlier of July 10, 2027 or the date of the issuer's next Annual Meeting of Stockholders, subject to the Reporting Person continuing to provide services to the issuer. Read SEC document |
| July 10, 2026 Filed Jul 14, 2026 22:43 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | GrantClass A Common Stock | 22,426 | $0.00 | $0.00 |
DisclosureSEC source: 0001871555-26-000002 · ownership.xml · nonDerivative · entry 1 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 79,431 F1 · shares: Each share is represented by a restricted stock unit ("RSU") granted pursuant to the issuer's Non-Employee Director Compensation Policy and its 2021 Equity Incentive Plan. These RSUs vest on the earlier of July 10, 2027 or the date of the issuer's next Annual Meeting of Stockholders, subject to the Reporting Person continuing to provide services to the issuer. Read SEC document |
| June 05, 2025 Filed Jun 6, 2025 22:40 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | GrantStock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $1.60 | $0.00 |
DisclosureSEC source: 0000950170-25-083337 · ownership.xml · derivative · entry 2 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,000 Underlying: Class A Common Stock · 25,000 shares Expires 2035-06-05 F2 · derivative.exercise_date: Consists of stock options granted pursuant to Sera Prognostics, Inc.'s Non-Employee Director Compensation Policy and its 2021 Equity Incentive Plan. These stock options vest over one year as follows: 1/12 of the original grant amount vests in monthly installments for one year following the vesting commencement date, which is June 5, 2025. Read SEC document |
| June 05, 2025 Filed Jun 6, 2025 22:40 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | GrantClass A Common Stock | 15,596 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-25-083337 · ownership.xml · nonDerivative · entry 1 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 57,005 F1 · shares: Each share is represented by a restricted stock unit ("RSU"). These RSUs vest over one year as follows: 1/12 of the original grant amount vests in monthly installments for one year following the vesting commencement date, which is June 5, 2025, subject to the Reporting Person continuing to provide services to the issuer. Read SEC document |
| January 14, 2025 Filed Jan 15, 2025 02:56 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | SaleClass A Common Stock | 2,695 | $6.29 | $16,951.55 |
DisclosureSEC source: 0000950170-25-005590 · ownership.xml · nonDerivative · entry 16 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Plan reported Ownership: Indirect · Held by Catalyst Health Ventures (PF), L.P. Disclosed balance after: 0 F1 · kind: The transaction(s) reported on this Form 4 was/were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2024. F5 · price: The price reported is a weighted average price. These shares were sold as part of a block trade in multiple transactions at prices ranging from $6.03 to $6.57, inclusive. The Reporting Person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price with regard to the block trade. F6 · ownership.nature: CHV GP LLC is the general partner of CHV LP and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV I GP LLC (formerly known as "CHV III GP LLC") is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV I GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV I GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| January 14, 2025 Filed Jan 15, 2025 02:56 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | SaleClass A Common Stock | 1,814 | $6.29 | $11,410.06 |
DisclosureSEC source: 0000950170-25-005590 · ownership.xml · nonDerivative · entry 12 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Plan reported Ownership: Indirect · Held by Catalyst Health Ventures, L.P. Disclosed balance after: 0 F1 · kind: The transaction(s) reported on this Form 4 was/were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2024. F5 · price: The price reported is a weighted average price. These shares were sold as part of a block trade in multiple transactions at prices ranging from $6.03 to $6.57, inclusive. The Reporting Person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price with regard to the block trade. F6 · ownership.nature: CHV GP LLC is the general partner of CHV LP and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV I GP LLC (formerly known as "CHV III GP LLC") is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV I GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV I GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| January 14, 2025 Filed Jan 15, 2025 02:56 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | SaleClass A Common Stock | 4,827 | $6.29 | $30,361.83 |
DisclosureSEC source: 0000950170-25-005590 · ownership.xml · nonDerivative · entry 8 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Plan reported Ownership: Indirect · Held by CHV Investments, LLC Disclosed balance after: 0 F1 · kind: The transaction(s) reported on this Form 4 was/were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2024. F5 · price: The price reported is a weighted average price. These shares were sold as part of a block trade in multiple transactions at prices ranging from $6.03 to $6.57, inclusive. The Reporting Person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price with regard to the block trade. F6 · ownership.nature: CHV GP LLC is the general partner of CHV LP and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV I GP LLC (formerly known as "CHV III GP LLC") is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV I GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV I GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| January 14, 2025 Filed Jan 15, 2025 02:56 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | SaleClass A Common Stock | 2 | $6.29 | $12.58 |
DisclosureSEC source: 0000950170-25-005590 · ownership.xml · nonDerivative · entry 4 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Plan reported Ownership: Indirect · Held by Catalyst Health Ventures Follow-on Fund, L.P. Disclosed balance after: 0 F1 · kind: The transaction(s) reported on this Form 4 was/were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2024. F5 · price: The price reported is a weighted average price. These shares were sold as part of a block trade in multiple transactions at prices ranging from $6.03 to $6.57, inclusive. The Reporting Person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price with regard to the block trade. F6 · ownership.nature: CHV GP LLC is the general partner of CHV LP and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV I GP LLC (formerly known as "CHV III GP LLC") is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV I GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV I GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| January 13, 2025 Filed Jan 15, 2025 02:56 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | SaleClass A Common Stock | 3,458 | $6.39 | $22,096.62 |
DisclosureSEC source: 0000950170-25-005590 · ownership.xml · nonDerivative · entry 15 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Plan reported Ownership: Indirect · Held by Catalyst Health Ventures (PF), L.P. Disclosed balance after: 2,695 F1 · kind: The transaction(s) reported on this Form 4 was/were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2024. F4 · price: The price reported is a weighted average price. These shares were sold as part of a block trade in multiple transactions at prices ranging from $6.13 to $6.75, inclusive. The Reporting Person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price with regard to the block trade. F6 · ownership.nature: CHV GP LLC is the general partner of CHV LP and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV I GP LLC (formerly known as "CHV III GP LLC") is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV I GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV I GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| January 13, 2025 Filed Jan 15, 2025 02:56 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | SaleClass A Common Stock | 2,415 | $6.39 | $15,431.85 |
DisclosureSEC source: 0000950170-25-005590 · ownership.xml · nonDerivative · entry 11 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Plan reported Ownership: Indirect · Held by Catalyst Health Ventures, L.P. Disclosed balance after: 1,814 F1 · kind: The transaction(s) reported on this Form 4 was/were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2024. F4 · price: The price reported is a weighted average price. These shares were sold as part of a block trade in multiple transactions at prices ranging from $6.13 to $6.75, inclusive. The Reporting Person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price with regard to the block trade. F6 · ownership.nature: CHV GP LLC is the general partner of CHV LP and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV I GP LLC (formerly known as "CHV III GP LLC") is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV I GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV I GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| January 13, 2025 Filed Jan 15, 2025 02:56 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | SaleClass A Common Stock | 6,287 | $6.39 | $40,173.93 |
DisclosureSEC source: 0000950170-25-005590 · ownership.xml · nonDerivative · entry 7 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Plan reported Ownership: Indirect · Held by CHV Investments, LLC Disclosed balance after: 4,827 F1 · kind: The transaction(s) reported on this Form 4 was/were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2024. F4 · price: The price reported is a weighted average price. These shares were sold as part of a block trade in multiple transactions at prices ranging from $6.13 to $6.75, inclusive. The Reporting Person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price with regard to the block trade. F6 · ownership.nature: CHV GP LLC is the general partner of CHV LP and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV I GP LLC (formerly known as "CHV III GP LLC") is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV I GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV I GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| January 13, 2025 Filed Jan 15, 2025 02:56 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | SaleClass A Common Stock | 3 | $6.39 | $19.17 |
DisclosureSEC source: 0000950170-25-005590 · ownership.xml · nonDerivative · entry 3 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Plan reported Ownership: Indirect · Held by Catalyst Health Ventures Follow-on Fund, L.P. Disclosed balance after: 2 F1 · kind: The transaction(s) reported on this Form 4 was/were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2024. F4 · price: The price reported is a weighted average price. These shares were sold as part of a block trade in multiple transactions at prices ranging from $6.13 to $6.75, inclusive. The Reporting Person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price with regard to the block trade. F6 · ownership.nature: CHV GP LLC is the general partner of CHV LP and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV I GP LLC (formerly known as "CHV III GP LLC") is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV I GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV I GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| January 10, 2025 Filed Jan 15, 2025 02:56 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | SaleClass A Common Stock | 921 | $8.03 | $7,395.63 |
DisclosureSEC source: 0000950170-25-005590 · ownership.xml · nonDerivative · entry 14 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Plan reported Ownership: Indirect · Held by Catalyst Health Ventures (PF), L.P. Disclosed balance after: 6,153 F1 · kind: The transaction(s) reported on this Form 4 was/were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2024. F3 · price: The price reported is a weighted average price. These shares were sold as part of a block trade in multiple transactions at prices ranging from $8.00 to $8.07, inclusive. The Reporting Person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price with regard to the block trade. F6 · ownership.nature: CHV GP LLC is the general partner of CHV LP and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV I GP LLC (formerly known as "CHV III GP LLC") is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV I GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV I GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| January 10, 2025 Filed Jan 15, 2025 02:56 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | SaleClass A Common Stock | 2,692 | $7.18 | $19,328.56 |
DisclosureSEC source: 0000950170-25-005590 · ownership.xml · nonDerivative · entry 13 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Plan reported Ownership: Indirect · Held by Catalyst Health Ventures (PF), L.P. Disclosed balance after: 7,074 F1 · kind: The transaction(s) reported on this Form 4 was/were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2024. F2 · price: The price reported is a weighted average price. These shares were sold as part of a block trade in multiple transactions at prices ranging from $7.00 to $7.37, inclusive. The Reporting Person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price with regard to the block trade. F6 · ownership.nature: CHV GP LLC is the general partner of CHV LP and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV I GP LLC (formerly known as "CHV III GP LLC") is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV I GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV I GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| January 10, 2025 Filed Jan 15, 2025 02:56 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | SaleClass A Common Stock | 643 | $8.03 | $5,163.29 |
DisclosureSEC source: 0000950170-25-005590 · ownership.xml · nonDerivative · entry 10 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Plan reported Ownership: Indirect · Held by Catalyst Health Ventures, L.P. Disclosed balance after: 4,229 F1 · kind: The transaction(s) reported on this Form 4 was/were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2024. F3 · price: The price reported is a weighted average price. These shares were sold as part of a block trade in multiple transactions at prices ranging from $8.00 to $8.07, inclusive. The Reporting Person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price with regard to the block trade. F6 · ownership.nature: CHV GP LLC is the general partner of CHV LP and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV I GP LLC (formerly known as "CHV III GP LLC") is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV I GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV I GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| January 10, 2025 Filed Jan 15, 2025 02:56 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | SaleClass A Common Stock | 1,881 | $7.18 | $13,505.58 |
DisclosureSEC source: 0000950170-25-005590 · ownership.xml · nonDerivative · entry 9 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Plan reported Ownership: Indirect · Held by Catalyst Health Ventures, L.P. Disclosed balance after: 4,872 F1 · kind: The transaction(s) reported on this Form 4 was/were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2024. F2 · price: The price reported is a weighted average price. These shares were sold as part of a block trade in multiple transactions at prices ranging from $7.00 to $7.37, inclusive. The Reporting Person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price with regard to the block trade. F6 · ownership.nature: CHV GP LLC is the general partner of CHV LP and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV I GP LLC (formerly known as "CHV III GP LLC") is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV I GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV I GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| January 10, 2025 Filed Jan 15, 2025 02:56 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | SaleClass A Common Stock | 1,674 | $8.03 | $13,442.22 |
DisclosureSEC source: 0000950170-25-005590 · ownership.xml · nonDerivative · entry 6 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Plan reported Ownership: Indirect · Held by CHV Investments, LLC Disclosed balance after: 11,114 F1 · kind: The transaction(s) reported on this Form 4 was/were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2024. F3 · price: The price reported is a weighted average price. These shares were sold as part of a block trade in multiple transactions at prices ranging from $8.00 to $8.07, inclusive. The Reporting Person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price with regard to the block trade. F6 · ownership.nature: CHV GP LLC is the general partner of CHV LP and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV I GP LLC (formerly known as "CHV III GP LLC") is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV I GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV I GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| January 10, 2025 Filed Jan 15, 2025 02:56 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | SaleClass A Common Stock | 4,896 | $7.18 | $35,153.28 |
DisclosureSEC source: 0000950170-25-005590 · ownership.xml · nonDerivative · entry 5 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Plan reported Ownership: Indirect · Held by CHV Investments, LLC Disclosed balance after: 12,788 F1 · kind: The transaction(s) reported on this Form 4 was/were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2024. F2 · price: The price reported is a weighted average price. These shares were sold as part of a block trade in multiple transactions at prices ranging from $7.00 to $7.37, inclusive. The Reporting Person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price with regard to the block trade. F6 · ownership.nature: CHV GP LLC is the general partner of CHV LP and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV I GP LLC (formerly known as "CHV III GP LLC") is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV I GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV I GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| January 10, 2025 Filed Jan 15, 2025 02:56 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | SaleClass A Common Stock | 1 | $8.03 | $8.03 |
DisclosureSEC source: 0000950170-25-005590 · ownership.xml · nonDerivative · entry 2 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Plan reported Ownership: Indirect · Held by Catalyst Health Ventures Follow-on Fund, L.P. Disclosed balance after: 5 F1 · kind: The transaction(s) reported on this Form 4 was/were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2024. F3 · price: The price reported is a weighted average price. These shares were sold as part of a block trade in multiple transactions at prices ranging from $8.00 to $8.07, inclusive. The Reporting Person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price with regard to the block trade. F6 · ownership.nature: CHV GP LLC is the general partner of CHV LP and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV I GP LLC (formerly known as "CHV III GP LLC") is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV I GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV I GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| January 10, 2025 Filed Jan 15, 2025 02:56 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | SaleClass A Common Stock | 2 | $7.18 | $14.36 |
DisclosureSEC source: 0000950170-25-005590 · ownership.xml · nonDerivative · entry 1 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Plan reported Ownership: Indirect · Held by Catalyst Health Ventures Follow-on Fund, L.P. Disclosed balance after: 6 F1 · kind: The transaction(s) reported on this Form 4 was/were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2024. F2 · price: The price reported is a weighted average price. These shares were sold as part of a block trade in multiple transactions at prices ranging from $7.00 to $7.37, inclusive. The Reporting Person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price with regard to the block trade. F6 · ownership.nature: CHV GP LLC is the general partner of CHV LP and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV I GP LLC (formerly known as "CHV III GP LLC") is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV I GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV I GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| June 06, 2024 Filed Jun 7, 2024 20:31 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | GrantStock Option (right to buy) · Derivative | 10,549 | $0.00 Strike: $8.43 | $0.00 |
DisclosureSEC source: 0001534969-24-000130 · wk-form4_1717792276.xml · derivative · entry 2 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,549 Underlying: Class A Common Stock · 10,549 shares Expires 2034-06-06 F2 · derivative.exercise_date: Consists of stock options granted pursuant to Sera Prognostics, Inc.'s Non-Employee Director Compensation Policy and its 2021 Equity Incentive Plan. These stock options vest over one year as follows: 1/12 of the original grant amount vests in monthly installments for one year following the vesting commencement date, which is June 6, 2024, subject to the reporting person continuing to provide services to the issuer. Read SEC document |
| June 06, 2024 Filed Jun 7, 2024 20:31 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | GrantClass A Common Stock | 7,117 | $0.00 | $0.00 |
DisclosureSEC source: 0001534969-24-000130 · wk-form4_1717792276.xml · nonDerivative · entry 1 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 41,409 F1 · shares: Each share is represented by a restricted stock unit ("RSU"). These RSUs vest over one year as follows: 1/12 of the original grant amount vests in monthly installments for one year following the vesting commencement date, which is June 6, 2024, subject to the reporting person continuing to provide services to the issuer. Read SEC document |
| June 03, 2024 Filed Jun 6, 2024 00:35 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | OtherClass A Common Stock | 36,040 | $0.00 | $0.00 |
DisclosureSEC source: 0001534969-24-000119 · wk-form4_1717634111.xml · nonDerivative · entry 7 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · Held by Catalyst Health Ventures Follow-on Fund, L.P. Disclosed balance after: 8 F9 · kind: CHV FO distributed these shares to its limited partners on a pro rata basis, for no consideration. F2 · ownership.nature: CHV GP LLC is the general partner of CHV LP and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV I GP LLC (formerly known as "CHV III GP LLC") is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV I GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV I GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| June 03, 2024 Filed Jun 6, 2024 00:35 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | OtherClass A Common Stock | 5,034 | $0.00 | $0.00 |
DisclosureSEC source: 0001534969-24-000119 · wk-form4_1717634111.xml · nonDerivative · entry 6 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 34,292 F7 · kind: Represents the pro-rata distribution from CHV Investments, and not a purchase or sale, without additional consideration. Read SEC document |
| June 03, 2024 Filed Jun 6, 2024 00:35 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | OtherClass A Common Stock | 2,297 | $0.00 | $0.00 |
DisclosureSEC source: 0001534969-24-000119 · wk-form4_1717634111.xml · nonDerivative · entry 5 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · Held by Trust Disclosed balance after: 2,297 F7 · kind: Represents the pro-rata distribution from CHV Investments, and not a purchase or sale, without additional consideration. F8 · ownership.nature: The shares are held by a living trust, of which the reporting person is a trustee and in which the reporting person has a beneficial interest. Read SEC document |
| June 03, 2024 Filed Jun 6, 2024 00:35 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | OtherClass A Common Stock | 356,660 | $0.00 | $0.00 |
DisclosureSEC source: 0001534969-24-000119 · wk-form4_1717634111.xml · nonDerivative · entry 4 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · Held by CHV Investments, LLC Disclosed balance after: 17,684 F6 · kind: CHV Investments distributed these shares to its limited members on a pro rata basis, for no consideration. F2 · ownership.nature: CHV GP LLC is the general partner of CHV LP and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV I GP LLC (formerly known as "CHV III GP LLC") is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV I GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV I GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| June 03, 2024 Filed Jun 6, 2024 00:35 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | OtherClass A Common Stock | 1,473 | $0.00 | $0.00 |
DisclosureSEC source: 0001534969-24-000119 · wk-form4_1717634111.xml · nonDerivative · entry 3 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,258 F4 · kind: Represents the pro-rata distribution from CHV PF, and not a purchase or sale, without additional consideration. F5 · balance_after: Includes 25,815 shares received as a pro-rata distribution from CHV LP and 1,970 shares received as a pro-rata distribution from CHV PF. In prior reports, the reporting person reported beneficial ownership of 388,622 shares held directly by CHV LP and 166,098 shares held directly by CHV PF. Read SEC document |
| June 03, 2024 Filed Jun 6, 2024 00:35 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | OtherClass A Common Stock | 156,332 | $0.00 | $0.00 |
DisclosureSEC source: 0001534969-24-000119 · wk-form4_1717634111.xml · nonDerivative · entry 2 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · Held by Catalyst Health Ventures (PF), L.P. Disclosed balance after: 9,766 F3 · kind: CHV PF distributed these shares to its limited partners on a pro rata basis, for no consideration. F2 · ownership.nature: CHV GP LLC is the general partner of CHV LP and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV I GP LLC (formerly known as "CHV III GP LLC") is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV I GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV I GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| June 03, 2024 Filed Jun 6, 2024 00:35 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | OtherClass A Common Stock | 381,869 | $0.00 | $0.00 |
DisclosureSEC source: 0001534969-24-000119 · wk-form4_1717634111.xml · nonDerivative · entry 1 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · Held by Catalyst Health Ventures, L.P. Disclosed balance after: 6,753 F1 · kind: Catalyst Health Ventures, L.P. ("CHV LP") distributed these shares to its limited partners on a pro rata basis, for no consideration. F2 · ownership.nature: CHV GP LLC is the general partner of CHV LP and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV I GP LLC (formerly known as "CHV III GP LLC") is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV I GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV I GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| June 08, 2023 Filed Jul 7, 2023 20:20 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | GrantStock Option (right to buy) · Derivative | 63,265 | $0.00 Strike: $3.00 | $0.00 |
DisclosureSEC source: 0001534969-23-000073 · wk-form4_1688761192.xml · derivative · entry 1 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 63,265 Underlying: Class A Common Stock · 63,265 shares Expires 2033-06-08 F1 · derivative.exercise_date: Consists of stock options granted pursuant to Sera Prognostics, Inc.'s Non-Employee Director Compensation Policy and its 2021 Equity Incentive Plan. These stock options vest over one year as follows: 1/12 of the original grant amount vests in monthly installments for one year following the vesting commencement date, which is June 8, 2023. Read SEC document |
| June 03, 2022 Filed Jun 6, 2022 20:58 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | GrantStock Option (right to buy) · Derivative | 149,675 | $0.00 Strike: $1.35 | $0.00 |
DisclosureSEC source: 0001534969-22-000085 · wf-form4_165454906706619.xml · derivative · entry 1 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 149,675 Underlying: Class A Common Stock · 149,675 shares Expires 2032-06-03 F1 · derivative.exercise_date: Consists of stock options granted pursuant to Sera Prognostics, Inc.'s Non-Employee Director Compensation Policy and its 2021 Equity Incentive Plan. These stock options vest over one year as follows: 1/12 of the original grant amount vests in monthly installments for one year following the vesting commencement date, which is June 3, 2022. Read SEC document |
| July 19, 2021 Filed Jul 21, 2021 22:01 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | ConversionSeries D Preferred Stock · Derivative | 3,713 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-094517 · tm2122781-1_4seq1.xml · derivative · entry 26 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Catalyst Health Ventures Follow-on Fund, L.P. Disclosed balance after: 0 Underlying: Class A Common Stock · 3,713 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: 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. F9 · derivative.exercise_date: 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. F6 · derivative.expiration_date: 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. F2 · ownership.nature: CHV GP LLC is the general partner of Catalyst Health Ventures, L.P. ("CHV LP") and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV III GP LLC is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV III GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV III GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| July 19, 2021 Filed Jul 21, 2021 22:01 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | ConversionSeries C-1 Preferred Stock · Derivative | 32,335 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-094517 · tm2122781-1_4seq1.xml · derivative · entry 25 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Catalyst Health Ventures Follow-on Fund, L.P. Disclosed balance after: 0 Underlying: Class A Common Stock · 32,335 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · derivative.exercise_price: 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. F9 · derivative.exercise_date: 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. F7 · derivative.expiration_date: 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. F2 · ownership.nature: CHV GP LLC is the general partner of Catalyst Health Ventures, L.P. ("CHV LP") and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV III GP LLC is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV III GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV III GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| July 19, 2021 Filed Jul 21, 2021 22:01 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | ConversionSeries E Preferred Stock · Derivative | 160,601 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-094517 · tm2122781-1_4seq1.xml · derivative · entry 24 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by CHV Investments, LLC Disclosed balance after: 0 Underlying: Class A Common Stock · 160,601 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F8 · derivative.exercise_price: The Issuer's Series E 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 $12.45 per share. The Series E Preferred Stock has no expiration date. F9 · derivative.exercise_date: 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. F8 · derivative.expiration_date: The Issuer's Series E 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 $12.45 per share. The Series E Preferred Stock has no expiration date. F2 · ownership.nature: CHV GP LLC is the general partner of Catalyst Health Ventures, L.P. ("CHV LP") and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV III GP LLC is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV III GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV III GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| July 19, 2021 Filed Jul 21, 2021 22:01 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | ConversionSeries D Preferred Stock · Derivative | 39,116 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-094517 · tm2122781-1_4seq1.xml · derivative · entry 23 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by CHV Investments, LLC Disclosed balance after: 0 Underlying: Class A Common Stock · 39,116 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: 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. F9 · derivative.exercise_date: 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. F6 · derivative.expiration_date: 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. F2 · ownership.nature: CHV GP LLC is the general partner of Catalyst Health Ventures, L.P. ("CHV LP") and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV III GP LLC is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV III GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV III GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| July 19, 2021 Filed Jul 21, 2021 22:01 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | ConversionSeries C-1 Preferred Stock · Derivative | 47,857 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-094517 · tm2122781-1_4seq1.xml · derivative · entry 22 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by CHV Investments, LLC Disclosed balance after: 0 Underlying: Class A Common Stock · 47,857 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · derivative.exercise_price: 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. F9 · derivative.exercise_date: 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. F7 · derivative.expiration_date: 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. F2 · ownership.nature: CHV GP LLC is the general partner of Catalyst Health Ventures, L.P. ("CHV LP") and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV III GP LLC is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV III GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV III GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| July 19, 2021 Filed Jul 21, 2021 22:01 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | ConversionSeries B-2 Preferred Stock · Derivative | 85,577 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-094517 · tm2122781-1_4seq1.xml · derivative · entry 21 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by CHV Investments, LLC Disclosed balance after: 0 Underlying: Class A Common Stock · 85,577 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_price: 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. F9 · derivative.exercise_date: 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. F5 · derivative.expiration_date: 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. F2 · ownership.nature: CHV GP LLC is the general partner of Catalyst Health Ventures, L.P. ("CHV LP") and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV III GP LLC is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV III GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV III GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| July 19, 2021 Filed Jul 21, 2021 22:01 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | ConversionSeries B-1 Preferred Stock · Derivative | 41,193 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-094517 · tm2122781-1_4seq1.xml · derivative · entry 20 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by CHV Investments, LLC Disclosed balance after: 0 Underlying: Class A Common Stock · 41,193 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: 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. F9 · derivative.exercise_date: 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. F4 · derivative.expiration_date: 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. F2 · ownership.nature: CHV GP LLC is the general partner of Catalyst Health Ventures, L.P. ("CHV LP") and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV III GP LLC is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV III GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV III GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| July 19, 2021 Filed Jul 21, 2021 22:01 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | ConversionSeries A-2 Preferred Stock · Derivative | 166,098 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-094517 · tm2122781-1_4seq1.xml · derivative · entry 19 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Catalyst Health Ventures (PF), L.P. Disclosed balance after: 0 Underlying: Class A Common Stock · 166,098 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: 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. F9 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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 · ownership.nature: CHV GP LLC is the general partner of Catalyst Health Ventures, L.P. ("CHV LP") and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV III GP LLC is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV III GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV III GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| July 19, 2021 Filed Jul 21, 2021 22:01 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | ConversionSeries D Preferred Stock · Derivative | 24,942 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-094517 · tm2122781-1_4seq1.xml · derivative · entry 18 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Catalyst Health Ventures, L.P. Disclosed balance after: 0 Underlying: Class A Common Stock · 24,942 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: 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. F9 · derivative.exercise_date: 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. F6 · derivative.expiration_date: 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. F2 · ownership.nature: CHV GP LLC is the general partner of Catalyst Health Ventures, L.P. ("CHV LP") and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV III GP LLC is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV III GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV III GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| July 19, 2021 Filed Jul 21, 2021 22:01 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | ConversionSeries B-2 Preferred Stock · Derivative | 34,030 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-094517 · tm2122781-1_4seq1.xml · derivative · entry 17 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Catalyst Health Ventures, L.P. Disclosed balance after: 0 Underlying: Class A Common Stock · 34,030 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_price: 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. F9 · derivative.exercise_date: 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. F5 · derivative.expiration_date: 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. F2 · ownership.nature: CHV GP LLC is the general partner of Catalyst Health Ventures, L.P. ("CHV LP") and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV III GP LLC is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV III GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV III GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| July 19, 2021 Filed Jul 21, 2021 22:01 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | ConversionSeries B-1 Preferred Stock · Derivative | 19,240 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-094517 · tm2122781-1_4seq1.xml · derivative · entry 16 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Catalyst Health Ventures, L.P. Disclosed balance after: 0 Underlying: Class A Common Stock · 19,240 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: 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. F9 · derivative.exercise_date: 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. F4 · derivative.expiration_date: 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. F2 · ownership.nature: CHV GP LLC is the general partner of Catalyst Health Ventures, L.P. ("CHV LP") and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV III GP LLC is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV III GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV III GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| July 19, 2021 Filed Jul 21, 2021 22:01 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | ConversionSeries A-2 Preferred Stock · Derivative | 231,678 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-094517 · tm2122781-1_4seq1.xml · derivative · entry 15 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Catalyst Health Ventures, L.P. Disclosed balance after: 0 Underlying: Class A Common Stock · 231,678 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: 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. F9 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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 · ownership.nature: CHV GP LLC is the general partner of Catalyst Health Ventures, L.P. ("CHV LP") and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV III GP LLC is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV III GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV III GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| July 19, 2021 Filed Jul 21, 2021 22:01 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | ConversionSeries A-1 Preferred Stock · Derivative | 41,182 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-094517 · tm2122781-1_4seq1.xml · derivative · entry 14 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Catalyst Health Ventures, L.P. Disclosed balance after: 0 Underlying: Class A Common Stock · 41,182 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Issuer's Series A-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 $6.07 per share. The Series A-1 Preferred Stock has no expiration date. F9 · derivative.exercise_date: 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. F1 · derivative.expiration_date: The Issuer's Series A-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 $6.07 per share. The Series A-1 Preferred Stock has no expiration date. F2 · ownership.nature: CHV GP LLC is the general partner of Catalyst Health Ventures, L.P. ("CHV LP") and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV III GP LLC is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV III GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV III GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| July 19, 2021 Filed Jul 21, 2021 22:01 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | ConversionClass A Common Stock | 3,713 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-094517 · tm2122781-1_4seq1.xml · nonDerivative · entry 13 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Catalyst Health Ventures Follow-on Fund, L.P. Disclosed balance after: 965,111 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · price: 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. F2 · ownership.nature: CHV GP LLC is the general partner of Catalyst Health Ventures, L.P. ("CHV LP") and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV III GP LLC is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV III GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV III GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| July 19, 2021 Filed Jul 21, 2021 22:01 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | ConversionClass A Common Stock | 32,335 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-094517 · tm2122781-1_4seq1.xml · nonDerivative · entry 12 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Catalyst Health Ventures Follow-on Fund, L.P. Disclosed balance after: 961,398 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · price: 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. F2 · ownership.nature: CHV GP LLC is the general partner of Catalyst Health Ventures, L.P. ("CHV LP") and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV III GP LLC is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV III GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV III GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| July 19, 2021 Filed Jul 21, 2021 22:01 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | ConversionClass A Common Stock | 160,601 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-094517 · tm2122781-1_4seq1.xml · nonDerivative · entry 11 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by CHV Investments, LLC Disclosed balance after: 929,063 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F8 · price: The Issuer's Series E 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 $12.45 per share. The Series E Preferred Stock has no expiration date. F2 · ownership.nature: CHV GP LLC is the general partner of Catalyst Health Ventures, L.P. ("CHV LP") and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV III GP LLC is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV III GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV III GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
| July 19, 2021 Filed Jul 21, 2021 22:01 UTC | SERA PROGNOSTICS, INC. SERA · Entity 304 | ConversionClass A Common Stock | 39,116 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-094517 · tm2122781-1_4seq1.xml · nonDerivative · entry 10 Phillips Joshua · CIK 0001871555 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by CHV Investments, LLC Disclosed balance after: 768,462 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · price: 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. F2 · ownership.nature: CHV GP LLC is the general partner of Catalyst Health Ventures, L.P. ("CHV LP") and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV III GP LLC is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV III GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV III GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.