Accession Number: | 0001534969-22-000109 |
Date: | 2022-06-28 |
Issuer: | SERA PROGNOSTICS, INC. (SERA) |
Original Submission Date: |
BONIFACE JOHN J.
C/O SERA PROGNOSTICS, INC.
2749 EAST PARLEYS WAY, SUITE 200
SALT LAKE CITY, UT 84109
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
CLASS A COMMON STOCK | 2022-06-28 | S | 2,725 | d | $1.89 | 57,410 | direct | ||
CLASS A COMMON STOCK | 2022-06-29 | M | 1,000 | a | $0.73 | 58,410 | direct | ||
CLASS A COMMON STOCK | 2022-06-29 | S | 1,000 | d | $1.72 | 57,410 | direct |
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 Exercisable | Expiration 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 | 2022-06-29 | deemed execution date | M | 1,000 (d) | 2022-09-11 | class a common stock 1,000 | $0.73 | 1,844 | direct |
ID | footnote |
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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 $1.70 to $2.57, 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 shares subject to this option are fully vested and exercisable. |