Phillips Joshua's Form 4 filing
Sera Prognostics, Inc. (SERA) · filed Jan 14, 2025
- Accession no.
- 0000950170-25-005590
- Filed
- Jan 14, 2025
- Trade date
- Jan 10-14, 2025
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Checked
This filing lists 16 non-derivative transactions. Open-market sales total $230.5K. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Phillips JoshuaCIK 0001871555 | Director |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 10, 2025 | Class A Common Stock | SSaleDisposed | −2 | $7.18F2 | −$14.36 | 6 | Indirect | |
| Jan 10, 2025 | Class A Common Stock | SSaleDisposed | −1 | $8.03F3 | −$8.03 | 5 | Indirect | |
| Jan 13, 2025 | Class A Common Stock | SSaleDisposed | −3 | $6.39F4 | −$19.17 | 2 | Indirect | |
| Jan 14, 2025 | Class A Common Stock | SSaleDisposed | −2 | $6.29F5 | −$12.58 | 0 | Indirect | |
| Jan 10, 2025 | Class A Common Stock | SSaleDisposed | −4,896 | $7.18F2 | −$35,153.28 | 12,788 | Indirect | |
| Jan 10, 2025 | Class A Common Stock | SSaleDisposed | −1,674 | $8.03F3 | −$13,442.22 | 11,114 | Indirect | |
| Jan 13, 2025 | Class A Common Stock | SSaleDisposed | −6,287 | $6.39F4 | −$40,173.93 | 4,827 | Indirect | |
| Jan 14, 2025 | Class A Common Stock | SSaleDisposed | −4,827 | $6.29F5 | −$30,361.83 | 0 | Indirect | |
| Jan 10, 2025 | Class A Common Stock | SSaleDisposed | −1,881 | $7.18F2 | −$13,505.58 | 4,872 | Indirect | |
| Jan 10, 2025 | Class A Common Stock | SSaleDisposed | −643 | $8.03F3 | −$5,163.29 | 4,229 | Indirect | |
| Jan 13, 2025 | Class A Common Stock | SSaleDisposed | −2,415 | $6.39F4 | −$15,431.85 | 1,814 | Indirect | |
| Jan 14, 2025 | Class A Common Stock | SSaleDisposed | −1,814 | $6.29F5 | −$11,410.06 | 0 | Indirect | |
| Jan 10, 2025 | Class A Common Stock | SSaleDisposed | −2,692 | $7.18F2 | −$19,328.56 | 7,074 | Indirect | |
| Jan 10, 2025 | Class A Common Stock | SSaleDisposed | −921 | $8.03F3 | −$7,395.63 | 6,153 | Indirect | |
| Jan 13, 2025 | Class A Common Stock | SSaleDisposed | −3,458 | $6.39F4 | −$22,096.62 | 2,695 | Indirect | |
| Jan 14, 2025 | Class A Common Stock | SSaleDisposed | −2,695 | $6.29F5 | −$16,951.55 | 0 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
The price reported is a weighted average price. These shares were sold as part of a block trade in multiple transactions at prices ranging from $7.00 to $7.37, 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 with regard to the block trade.
Referenced by the price of 4 transactions in Table I.
- F3
The price reported is a weighted average price. These shares were sold as part of a block trade in multiple transactions at prices ranging from $8.00 to $8.07, 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 with regard to the block trade.
Referenced by the price of 4 transactions in Table I.
- F4
The price reported is a weighted average price. These shares were sold as part of a block trade in multiple transactions at prices ranging from $6.13 to $6.75, 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 with regard to the block trade.
Referenced by the price of 4 transactions in Table I.
- F5
The price reported is a weighted average price. These shares were sold as part of a block trade in multiple transactions at prices ranging from $6.03 to $6.57, 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 with regard to the block trade.
Referenced by the price of 4 transactions in Table I.