0001534969-24-000119.txt : 20240605
0001534969-24-000119.hdr.sgml : 20240605
20240605203518
ACCESSION NUMBER: 0001534969-24-000119
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240603
FILED AS OF DATE: 20240605
DATE AS OF CHANGE: 20240605
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Phillips Joshua
CENTRAL INDEX KEY: 0001871555
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40606
FILM NUMBER: 241023641
MAIL ADDRESS:
STREET 1: C/O SERA PROGNOSTICS, INC.
STREET 2: 2749 EAST PARLEYS WAY, SUITE 200
CITY: SALT LAKE CITY
STATE: UT
ZIP: 84109
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SERA PROGNOSTICS, INC.
CENTRAL INDEX KEY: 0001534969
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MEDICAL LABORATORIES [8071]
ORGANIZATION NAME: 08 Industrial Applications and Services
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
4
1
wk-form4_1717634111.xml
FORM 4
X0508
4
2024-06-03
0
0001534969
SERA PROGNOSTICS, INC.
SERA
0001871555
Phillips Joshua
C/O SERA PROGNOSTICS, INC.
2749 EAST PARLEYS WAY, SUITE 200
SALT LAKE CITY
UT
84109
1
0
0
0
0
Class A Common Stock
2024-06-03
4
J
0
381869
0
D
6753
I
Held by Catalyst Health Ventures, L.P.
Class A Common Stock
2024-06-03
4
J
0
156332
0
D
9766
I
Held by Catalyst Health Ventures (PF), L.P.
Class A Common Stock
2024-06-03
4
J
0
1473
0
A
29258
D
Class A Common Stock
2024-06-03
4
J
0
356660
0
D
17684
I
Held by CHV Investments, LLC
Class A Common Stock
2024-06-03
4
J
0
2297
0
A
2297
I
Held by Trust
Class A Common Stock
2024-06-03
4
J
0
5034
0
A
34292
D
Class A Common Stock
2024-06-03
4
J
0
36040
0
D
8
I
Held by Catalyst Health Ventures Follow-on Fund, L.P.
Catalyst Health Ventures, L.P. ("CHV LP") distributed these shares to its limited partners on a pro rata basis, for no consideration.
CHV GP LLC is the general partner of CHV LP and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV I GP LLC (formerly known as "CHV III GP LLC") is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV I GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV I GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein.
CHV PF distributed these shares to its limited partners on a pro rata basis, for no consideration.
Represents the pro-rata distribution from CHV PF, and not a purchase or sale, without additional consideration.
Includes 25,815 shares received as a pro-rata distribution from CHV LP and 1,970 shares received as a pro-rata distribution from CHV PF. In prior reports, the reporting person reported beneficial ownership of 388,622 shares held directly by CHV LP and 166,098 shares held directly by CHV PF.
CHV Investments distributed these shares to its limited members on a pro rata basis, for no consideration.
Represents the pro-rata distribution from CHV Investments, and not a purchase or sale, without additional consideration.
The shares are held by a living trust, of which the reporting person is a trustee and in which the reporting person has a beneficial interest.
CHV FO distributed these shares to its limited partners on a pro rata basis, for no consideration.
/s/ Benjamin G. Jackson, Attorney-in-fact
2024-06-05