PHILLIPS JOSHUA enters SERA PROGNOSTICS, INC. with 37.55K shares plus derivative instruments

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

Indirect Derivatives

PHILLIPS JOSHUA

Filed: 7/14/2021ACC: 0001104659-21-092306

InsiderPHILLIPS JOSHUACIK 1871555

→

IssuerSERA PROGNOSTICS, INC.CIK 1534969

Director

Since Jul 2021

37.55K

Baseline shares

0.00

Direct ownership

0 positions

961.45K

Derivative underlying

19 instruments

Security positions

37.55K indirect

Non-Derivative Holdings1

Class A Common Stock

Indirect

Shares owned37.55K

Total

37.55K indirect37.55K

Security Title	Shares Owned	Ownership Type
Class A Common Stock	37.55K	Indirect
Total	37.55K	37.55K indirect

Derivative Holdings19

Series B-2 Preferred Stock

Indirect

Underlying security

Class A Common Stock

Underlying shares

34.03K

Shares owned

N/A

Exercise price

8.32

Expiration

—

Exercise window

—

Series C-1 Preferred Stock

Indirect

Underlying security

Class A Common Stock

Underlying shares

47.86K

Shares owned

N/A

Exercise price

12.37

Expiration

—

Exercise window

—

Series A-1 Preferred Stock

Indirect

Underlying security

Class A Common Stock

Underlying shares

41.18K

Shares owned

N/A

Exercise price

6.07

Expiration

—

Exercise window

—

Series D Preferred Stock

Indirect

Underlying security

Class A Common Stock

Underlying shares

39.12K

Shares owned

N/A

Exercise price

9.02

Expiration

—

Exercise window

—

Warrants (Right to Buy)

Indirect

Underlying security

Class A Common Stock

Underlying shares

9.78K

Shares owned

N/A

Exercise price

10.83

Expiration

—

Exercise window

—

Series D Preferred Stock

Indirect

Underlying security

Class A Common Stock

Underlying shares

3.71K

Shares owned

N/A

Exercise price

9.02

Expiration

—

Exercise window

—

Series E Preferred Stock

Indirect

Underlying security

Class A Common Stock

Underlying shares

160.60K

Shares owned

N/A

Exercise price

12.45

Expiration

—

Exercise window

—

Series B-2 Preferred Stock

Indirect

Underlying security

Class A Common Stock

Underlying shares

85.58K

Shares owned

N/A

Exercise price

8.32

Expiration

—

Exercise window

—

Series A-2 Preferred Stock

Indirect

Underlying security

Class A Common Stock

Underlying shares

166.10K

Shares owned

N/A

Exercise price

5.20

Expiration

—

Exercise window

—

Warrants (Right to Buy)

Indirect

Underlying security

Class A Common Stock

Underlying shares

6.24K

Shares owned

N/A

Exercise price

9.02

Expiration

—

Exercise window

—

Warrants (Right to Buy)

Indirect

Underlying security

Class A Common Stock

Underlying shares

6.24K

Shares owned

N/A

Exercise price

10.83

Expiration

—

Exercise window

—

Warrants (Right to Buy)

Indirect

Underlying security

Class A Common Stock

Underlying shares

928.00

Shares owned

N/A

Exercise price

9.02

Expiration

—

Exercise window

—

Series C-1 Preferred Stock

Indirect

Underlying security

Class A Common Stock

Underlying shares

32.34K

Shares owned

N/A

Exercise price

12.37

Expiration

—

Exercise window

—

Series B-1 Preferred Stock

Indirect

Underlying security

Class A Common Stock

Underlying shares

41.19K

Shares owned

N/A

Exercise price

5.20

Expiration

—

Exercise window

—

Series B-1 Preferred Stock

Indirect

Underlying security

Class A Common Stock

Underlying shares

19.24K

Shares owned

N/A

Exercise price

5.20

Expiration

—

Exercise window

—

Series A-2 Preferred Stock

Indirect

Underlying security

Class A Common Stock

Underlying shares

231.68K

Shares owned

N/A

Exercise price

5.20

Expiration

—

Exercise window

—

Warrants (Right to Buy)

Indirect

Underlying security

Class A Common Stock

Underlying shares

928.00

Shares owned

N/A

Exercise price

10.83

Expiration

—

Exercise window

—

Warrants (Right to Buy)

Indirect

Underlying security

Class A Common Stock

Underlying shares

9.78K

Shares owned

N/A

Exercise price

9.02

Expiration

—

Exercise window

—

Series D Preferred Stock

Indirect

Underlying security

Class A Common Stock

Underlying shares

24.94K

Shares owned

N/A

Exercise price

9.02

Expiration

—

Exercise window

—

Total

Underlying

961.45K

Owned

0.00

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Series B-2 Preferred Stock Indirect	Class A Common Stock	8.32	—	—	34.03K	N/A
Series C-1 Preferred Stock Indirect	Class A Common Stock	12.37	—	—	47.86K	N/A
Series A-1 Preferred Stock Indirect	Class A Common Stock	6.07	—	—	41.18K	N/A
Series D Preferred Stock Indirect	Class A Common Stock	9.02	—	—	39.12K	N/A
Warrants (Right to Buy) Indirect	Class A Common Stock	10.83	—	—	9.78K	N/A
Series D Preferred Stock Indirect	Class A Common Stock	9.02	—	—	3.71K	N/A
Series E Preferred Stock Indirect	Class A Common Stock	12.45	—	—	160.60K	N/A
Series B-2 Preferred Stock Indirect	Class A Common Stock	8.32	—	—	85.58K	N/A
Series A-2 Preferred Stock Indirect	Class A Common Stock	5.20	—	—	166.10K	N/A
Warrants (Right to Buy) Indirect	Class A Common Stock	9.02	—	—	6.24K	N/A
Warrants (Right to Buy) Indirect	Class A Common Stock	10.83	—	—	6.24K	N/A
Warrants (Right to Buy) Indirect	Class A Common Stock	9.02	—	—	928.00	N/A
Series C-1 Preferred Stock Indirect	Class A Common Stock	12.37	—	—	32.34K	N/A
Series B-1 Preferred Stock Indirect	Class A Common Stock	5.20	—	—	41.19K	N/A
Series B-1 Preferred Stock Indirect	Class A Common Stock	5.20	—	—	19.24K	N/A
Series A-2 Preferred Stock Indirect	Class A Common Stock	5.20	—	—	231.68K	N/A
Warrants (Right to Buy) Indirect	Class A Common Stock	10.83	—	—	928.00	N/A
Warrants (Right to Buy) Indirect	Class A Common Stock	9.02	—	—	9.78K	N/A
Series D Preferred Stock Indirect	Class A Common Stock	9.02	—	—	24.94K	N/A
Total					961.45K	0.00