<SEC-DOCUMENT>0001104659-21-094519.txt : 20210721
<SEC-HEADER>0001104659-21-094519.hdr.sgml : 20210721
<ACCEPTANCE-DATETIME>20210721180156
ACCESSION NUMBER:		0001104659-21-094519
CONFORMED SUBMISSION TYPE:	4
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20210719
FILED AS OF DATE:		20210721
DATE AS OF CHANGE:		20210721

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			CRITCHFIELD GREGORY C
		CENTRAL INDEX KEY:			0001191080

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-40606
		FILM NUMBER:		211105450

	MAIL ADDRESS:	
		STREET 1:		320 WAKARA WAY
		CITY:			SALT LAKE CITY
		STATE:			UT
		ZIP:			84108

ISSUER:		

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			SERA PROGNOSTICS, INC.
		CENTRAL INDEX KEY:			0001534969
		STANDARD INDUSTRIAL CLASSIFICATION:	SERVICES-MEDICAL LABORATORIES [8071]
		IRS NUMBER:				261911522
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	BUSINESS ADDRESS:	
		STREET 1:		2749 E. PARLEYS WAY
		STREET 2:		SUITE 200
		CITY:			SALT LAKE CITY
		STATE:			UT
		ZIP:			84109
		BUSINESS PHONE:		(801) 990-0520

	MAIL ADDRESS:	
		STREET 1:		2749 E. PARLEYS WAY
		STREET 2:		SUITE 200
		CITY:			SALT LAKE CITY
		STATE:			UT
		ZIP:			84109
</SEC-HEADER>
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<TYPE>4
<SEQUENCE>1
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<DESCRIPTION>OWNERSHIP DOCUMENT
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    <footnotes>
        <footnote id="F1">The Issuer's Series A-2 Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $5.20 per share. The Series A-2 Preferred Stock has no expiration date.</footnote>
        <footnote id="F2">Includes 630,832 shares of Class A Common Stock directly held by The Gregory C. Critchfield &amp; Trust. Dr. Critchfield is a Trustee of the Gregory C. Critchfield &amp; Trust. Dr. Critchfield, in such capacity, may be deemed to indriectly beneficially own the securities owned by the trust except to the extent of his pecuniary interest therein, if any.</footnote>
        <footnote id="F3">The Issuer's Series B-1 Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $5.20 per share. The Series B-1 Preferred Stock has no expiration date.</footnote>
        <footnote id="F4">The Issuer's Series B-2 Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $8.32 per share. The Series B-2 Preferred Stock has no expiration date.</footnote>
        <footnote id="F5">The Issuer's Series C-1 Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $12.37 per share. The Series C-1 Preferred Stock has no expiration date.</footnote>
        <footnote id="F6">The Issuer's Series D Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $9.02 per share. The Series D Preferred Stock has no expiration date.</footnote>
        <footnote id="F7">The shares of preferred stock automatically converted into the Issuer's Class A Common Stock in accordance with the Issuer's Restated Certificate of Incorporation, as amended, immediately upon completion of the Issuer's initial public offering, which became effective on July 19, 2021.</footnote>
    </footnotes>

    <ownerSignature>
        <signatureName>/s/ Nishanti Dharia, Attorney-in-fact</signatureName>
        <signatureDate>2021-07-21</signatureDate>
    </ownerSignature>
</ownershipDocument>
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</SEC-DOCUMENT>
