Form Type: 4

SEC EDGAR Link
Accession Number:0001534969-22-000076
Date:2022-05-31
Issuer: SERA PROGNOSTICS, INC. (SERA)
Original Submission Date:

Reporting Person:

BONIFACE JOHN J.
C/O SERA PROGNOSTICS, INC.
2749 EAST PARLEYS WAY, SUITE 200 SALT LAKE CITY, UT 84109

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
CLASS A COMMON STOCK 2022-05-31 S 2,725 d $1.45 68,310 direct
CLASS A COMMON STOCK 2022-06-01 M 1,000 a $0.73 69,310 direct
CLASS A COMMON STOCK 2022-06-01 S 1,000 d $1.36 68,310 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION (RIGHT TO BUY) 0.73 2022-06-01 deemed execution date M 1,000 (d) 2022-09-11 class a common stock 1,000 $0.73 2,844 direct
Footnotes
IDfootnote
f1 the transaction reported on this form 4 was effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person on december 14, 2021.
f2 the price reported is a weighted average price. these shares were sold in multiple transactions at prices ranging from $1.38 to $1.49, 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.
f3 the price reported is a weighted average price. these shares were sold in multiple transactions at prices ranging from $1.32 to $1.41, 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.
f4 the shares subject to this option are fully vested and exercisable.

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