Filing Details
- Accession Number:
- 0001534969-24-000073
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2024-03-28 17:56:40
- Reporting Period:
- 2024-03-27
- Accepted Time:
- 2024-03-28 17:56:40
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1534969 | Sera Prognostics Inc. | SERA | Services-Medical Laboratories (8071) | 261911522 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1870674 | J. John Boniface | C/O Sera Prognostics, Inc. 2749 East Parleys Way, Suite 200 Salt Lake City UT 84109 | Chief Scientific Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Disposition | 2024-03-27 | 3,753 | $9.62 | 139,771 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2024-03-27 | 48,909 | $0.91 | 188,680 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2024-03-27 | 48,909 | $9.62 | 139,771 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2024-03-28 | 24,474 | $0.91 | 164,245 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2024-03-28 | 24,474 | $9.04 | 139,771 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Stock Option (right to buy) | Disposition | 2024-03-27 | 48,909 | $0.00 | 48,909 | $0.91 |
| Class A Common Stock | Stock Option (right to buy) | Disposition | 2024-03-28 | 24,474 | $0.00 | 24,474 | $0.91 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 24,474 | 2024-12-29 | No | 4 | M | Direct | |
| 0 | 2024-12-29 | No | 4 | M | Direct |
Footnotes
- 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 December 15, 2023.
- The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.06 to $9.85, 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.
- The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.58 to $9.24, 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.
- The shares subject to this option are fully vested and exercisable.
Billionaire Hedge Funds
