PHILLIPS JOSHUA reported 13 transactions at SERA PROGNOSTICS, INC.

Review the transaction codes below to understand the nature of each event.

PHILLIPS JOSHUA

Filed: 7/21/2021ACC: 0001104659-21-094517

InsiderPHILLIPS JOSHUACIK 1871555

→

IssuerSERA PROGNOSTICS, INC.CIK 1534969

Director

Since Jul 2021

0.00

Net shares

Net seller

$0.00

Total acquired

Open market trades

0B · 0S

Total transactions

927.56K acquired · 927.56K disposed

Non-Derivative Transactions13

Class A Common Stock

Indirect

C · Conversion

+41.18K

Price / share

—

Trade value

—

% of position

109.7%

7/19/2021

37.55K→78.73K

Class A Common Stock

Indirect

C · Conversion

+231.68K

Price / share

—

Trade value

—

% of position

294.3%

7/19/2021

78.73K→310.41K

Class A Common Stock

Indirect

C · Conversion

+19.24K

Price / share

—

Trade value

—

% of position

6.2%

7/19/2021

310.41K→329.65K

Class A Common Stock

Indirect

C · Conversion

+34.03K

Price / share

—

Trade value

—

% of position

10.3%

7/19/2021

329.65K→363.68K

Class A Common Stock

Indirect

C · Conversion

+24.94K

Price / share

—

Trade value

—

% of position

6.9%

7/19/2021

363.68K→388.62K

Class A Common Stock

Indirect

C · Conversion

+166.10K

Price / share

—

Trade value

—

% of position

42.7%

7/19/2021

388.62K→554.72K

Class A Common Stock

Indirect

C · Conversion

+41.19K

Price / share

—

Trade value

—

% of position

7.4%

7/19/2021

554.72K→595.91K

Class A Common Stock

Indirect

C · Conversion

+85.58K

Price / share

—

Trade value

—

% of position

14.4%

7/19/2021

595.91K→681.49K

Class A Common Stock

Indirect

C · Conversion

+47.86K

Price / share

—

Trade value

—

% of position

7.0%

7/19/2021

681.49K→729.35K

Class A Common Stock

Indirect

C · Conversion

+39.12K

Price / share

—

Trade value

—

% of position

5.4%

7/19/2021

729.35K→768.46K

Class A Common Stock

Indirect

C · Conversion

+160.60K

Price / share

—

Trade value

—

% of position

20.9%

7/19/2021

768.46K→929.06K

Class A Common Stock

Indirect

C · Conversion

+32.34K

Price / share

—

Trade value

—

% of position

3.5%

7/19/2021

929.06K→961.40K

Class A Common Stock

Indirect

C · Conversion

+3.71K

Price / share

—

Trade value

—

% of position

0.4%

7/19/2021

961.40K→965.11K

Total

Net shares

+927.56K

Net value

$0.00

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Class A Common Stock Indirect	7/19/2021	C · Conversion	+41.18K	—	—	109.7%	37.55K	78.73K
Class A Common Stock Indirect	7/19/2021	C · Conversion	+231.68K	—	—	294.3%	78.73K	310.41K
Class A Common Stock Indirect	7/19/2021	C · Conversion	+19.24K	—	—	6.2%	310.41K	329.65K
Class A Common Stock Indirect	7/19/2021	C · Conversion	+34.03K	—	—	10.3%	329.65K	363.68K
Class A Common Stock Indirect	7/19/2021	C · Conversion	+24.94K	—	—	6.9%	363.68K	388.62K
Class A Common Stock Indirect	7/19/2021	C · Conversion	+166.10K	—	—	42.7%	388.62K	554.72K
Class A Common Stock Indirect	7/19/2021	C · Conversion	+41.19K	—	—	7.4%	554.72K	595.91K
Class A Common Stock Indirect	7/19/2021	C · Conversion	+85.58K	—	—	14.4%	595.91K	681.49K
Class A Common Stock Indirect	7/19/2021	C · Conversion	+47.86K	—	—	7.0%	681.49K	729.35K
Class A Common Stock Indirect	7/19/2021	C · Conversion	+39.12K	—	—	5.4%	729.35K	768.46K
Class A Common Stock Indirect	7/19/2021	C · Conversion	+160.60K	—	—	20.9%	768.46K	929.06K
Class A Common Stock Indirect	7/19/2021	C · Conversion	+32.34K	—	—	3.5%	929.06K	961.40K
Class A Common Stock Indirect	7/19/2021	C · Conversion	+3.71K	—	—	0.4%	961.40K	965.11K
Total			+927.56K		$0.00

Derivative Transactions13

Series A-1 Preferred Stock

Indirect

C · Conversion

Converts to

Class A Common Stock

41.18K shares

−41.18K

Strike price

Held after

0.00

Exercisable

—

7/19/2021

Series A-2 Preferred Stock

Indirect

C · Conversion

Converts to

Class A Common Stock

231.68K shares

−231.68K

Strike price

Held after

0.00

Exercisable

—

7/19/2021

Series B-1 Preferred Stock

Indirect

C · Conversion

Converts to

Class A Common Stock

19.24K shares

−19.24K

Strike price

Held after

0.00

Exercisable

—

7/19/2021

Series B-2 Preferred Stock

Indirect

C · Conversion

Converts to

Class A Common Stock

34.03K shares

−34.03K

Strike price

Held after

0.00

Exercisable

—

7/19/2021

Series D Preferred Stock

Indirect

C · Conversion

Converts to

Class A Common Stock

24.94K shares

−24.94K

Strike price

Held after

0.00

Exercisable

—

7/19/2021

Series A-2 Preferred Stock

Indirect

C · Conversion

Converts to

Class A Common Stock

166.10K shares

−166.10K

Strike price

Held after

0.00

Exercisable

—

7/19/2021

Series B-1 Preferred Stock

Indirect

C · Conversion

Converts to

Class A Common Stock

41.19K shares

−41.19K

Strike price

Held after

0.00

Exercisable

—

7/19/2021

Series B-2 Preferred Stock

Indirect

C · Conversion

Converts to

Class A Common Stock

85.58K shares

−85.58K

Strike price

Held after

0.00

Exercisable

—

7/19/2021

Series C-1 Preferred Stock

Indirect

C · Conversion

Converts to

Class A Common Stock

47.86K shares

−47.86K

Strike price

Held after

0.00

Exercisable

—

7/19/2021

Series D Preferred Stock

Indirect

C · Conversion

Converts to

Class A Common Stock

39.12K shares

−39.12K

Strike price

Held after

0.00

Exercisable

—

7/19/2021

Series E Preferred Stock

Indirect

C · Conversion

Converts to

Class A Common Stock

160.60K shares

−160.60K

Strike price

Held after

0.00

Exercisable

—

7/19/2021

Series C-1 Preferred Stock

Indirect

C · Conversion

Converts to

Class A Common Stock

32.34K shares

−32.34K

Strike price

Held after

0.00

Exercisable

—

7/19/2021

Series D Preferred Stock

Indirect

C · Conversion

Converts to

Class A Common Stock

3.71K shares

−3.71K

Strike price

Held after

0.00

Exercisable

—

7/19/2021

Security	Converts To	Date	Type	Shares	Exercisable
Series A-1 Preferred Stock Indirect	Class A Common Stock41.18K shares	7/19/2021	C · Conversion	−41.18K	—
Series A-2 Preferred Stock Indirect	Class A Common Stock231.68K shares	7/19/2021	C · Conversion	−231.68K	—
Series B-1 Preferred Stock Indirect	Class A Common Stock19.24K shares	7/19/2021	C · Conversion	−19.24K	—
Series B-2 Preferred Stock Indirect	Class A Common Stock34.03K shares	7/19/2021	C · Conversion	−34.03K	—
Series D Preferred Stock Indirect	Class A Common Stock24.94K shares	7/19/2021	C · Conversion	−24.94K	—
Series A-2 Preferred Stock Indirect	Class A Common Stock166.10K shares	7/19/2021	C · Conversion	−166.10K	—
Series B-1 Preferred Stock Indirect	Class A Common Stock41.19K shares	7/19/2021	C · Conversion	−41.19K	—
Series B-2 Preferred Stock Indirect	Class A Common Stock85.58K shares	7/19/2021	C · Conversion	−85.58K	—
Series C-1 Preferred Stock Indirect	Class A Common Stock47.86K shares	7/19/2021	C · Conversion	−47.86K	—
Series D Preferred Stock Indirect	Class A Common Stock39.12K shares	7/19/2021	C · Conversion	−39.12K	—
Series E Preferred Stock Indirect	Class A Common Stock160.60K shares	7/19/2021	C · Conversion	−160.60K	—
Series C-1 Preferred Stock Indirect	Class A Common Stock32.34K shares	7/19/2021	C · Conversion	−32.34K	—
Series D Preferred Stock Indirect	Class A Common Stock3.71K shares	7/19/2021	C · Conversion	−3.71K	—