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