CRITCHFIELD GREGORY C

PrivateCIK: 1191080

Location

SALT LAKE CITY, UT

CRITCHFIELD GREGORY C enters SERA PROGNOSTICS, INC. with 709.97K shares plus derivative instruments

Holding both equity and derivatives at entry signals strong long-term conviction in the company.

Direct Indirect Derivatives

CRITCHFIELD GREGORY C

Filed: 7/14/2021ACC: 0001104659-21-092309

InsiderCRITCHFIELD GREGORY CCIK 1191080

→

IssuerSERA PROGNOSTICS, INC.CIK 1534969

DirectorOfficer· Chief Executive Officer

Since Jul 2021

709.97K

Baseline shares

11% direct

79.14K

Direct ownership

1 position

955.08K

Derivative underlying

10 instruments

2

Security positions

630.83K indirect

Non-Derivative Holdings2

Class A Common Stock

Direct

Shares owned79.14K

Class A Common Stock

Indirect

Shares owned630.83K

Total

79.14K direct·630.83K indirect709.97K

Security Title	Shares Owned	Ownership Type
Class A Common Stock	79.14K	Direct
Class A Common Stock	630.83K	Indirect
Total	709.97K	79.14K direct·630.83K indirect

Derivative Holdings10

Series A-2 Preferred Stock

Direct

Underlying security

Class A Common Stock

Underlying shares

34.38K

Shares owned

N/A

Exercise price

5.20

Expiration

—

Exercise window

—

Stock Option (right to buy)

Direct

Underlying security

Class A Common Stock

Underlying shares

462.34K

Shares owned

N/A

Exercise price

1.77

Expiration

—

Exercise window

—

Warrant (right to buy)

Indirect

Underlying security

Class A Common Stock

Underlying shares

4.41K

Shares owned

N/A

Exercise price

10.83

Expiration

—

Exercise window

—

Series C-1 Preferred Stock

Direct

Underlying security

Class A Common Stock

Underlying shares

4.73K

Shares owned

N/A

Exercise price

12.37

Expiration

—

Exercise window

—

Warrant (right to buy)

Indirect

Underlying security

Class A Common Stock

Underlying shares

4.41K

Shares owned

N/A

Exercise price

9.02

Expiration

—

Exercise window

—

Stock Option (right to buy)

Direct

Underlying security

Class A Common Stock

Underlying shares

98.33K

Shares owned

N/A

Exercise price

5.32

Expiration

—

Exercise window

—

Series D Preferred Stock

Direct

Underlying security

Class A Common Stock

Underlying shares

28.73K

Shares owned

N/A

Exercise price

9.02

Expiration

—

Exercise window

—

Series B-2 Preferred Stock

Direct

Underlying security

Class A Common Stock

Underlying shares

11.88K

Shares owned

N/A

Exercise price

8.32

Expiration

—

Exercise window

—

Series B-1 Preferred Stock

Direct

Underlying security

Class A Common Stock

Underlying shares

5.25K

Shares owned

N/A

Exercise price

5.20

Expiration

—

Exercise window

—

Stock Option (right to buy)

Direct

Underlying security

Class A Common Stock

Underlying shares

300.61K

Shares owned

N/A

Exercise price

1.98

Expiration

—

Exercise window

—

Total

Underlying

955.08K

Owned

0.00

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Series A-2 Preferred Stock Direct	Class A Common Stock	5.20	—	—	34.38K	N/A
Stock Option (right to buy) Direct	Class A Common Stock	1.77	—	—	462.34K	N/A
Warrant (right to buy) Indirect	Class A Common Stock	10.83	—	—	4.41K	N/A
Series C-1 Preferred Stock Direct	Class A Common Stock	12.37	—	—	4.73K	N/A
Warrant (right to buy) Indirect	Class A Common Stock	9.02	—	—	4.41K	N/A
Stock Option (right to buy) Direct	Class A Common Stock	5.32	—	—	98.33K	N/A
Series D Preferred Stock Direct	Class A Common Stock	9.02	—	—	28.73K	N/A
Series B-2 Preferred Stock Direct	Class A Common Stock	8.32	—	—	11.88K	N/A
Series B-1 Preferred Stock Direct	Class A Common Stock	5.20	—	—	5.25K	N/A
Stock Option (right to buy) Direct	Class A Common Stock	1.98	—	—	300.61K	N/A
Total					955.08K	0.00

CRITCHFIELD GREGORY C — Initial Ownership Disclosure (Form 3) Filed Jul 14, 2021 | Finecho