Boniface John J.'s Form 4 filing
Sera Prognostics, Inc. (SERA) · filed Mar 28, 2024
- Accession no.
- 0001534969-24-000073
- Filed
- Mar 28, 2024
- Trade date
- Mar 27-28, 2024
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Checked
This filing lists 5 non-derivative transactions and 2 derivative transactions. Open-market sales total $727.9K. It was filed 1 day 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 |
|---|---|
| Boniface John J.CIK 0001870674 | Officer (Chief Scientific Officer) |
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 |
|---|---|---|---|---|---|---|---|---|
| Mar 27, 2024 | Class A Common Stock | SSaleDisposed | −3,753 | $9.62F2 | −$36,103.86 | 139,771 | Direct | |
| Mar 27, 2024 | Class A Common Stock | MOption exerciseAcquired | +48,909 | $0.91 | +$44,507.19 | 188,680 | Direct | |
| Mar 27, 2024 | Class A Common Stock | SSaleDisposed | −48,909 | $9.62F2 | −$470,504.58 | 139,771 | Direct | |
| Mar 28, 2024 | Class A Common Stock | MOption exerciseAcquired | +24,474 | $0.91 | +$22,271.34 | 164,245 | Direct | |
| Mar 28, 2024 | Class A Common Stock | SSaleDisposed | −24,474 | $9.04F3 | −$221,244.96 | 139,771 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 27, 2024 | Class A Common Stock | MOption exerciseDisposed | −48,909 | $0.00 | $0 | 24,474 | Direct | |
| Mar 28, 2024 | Class A Common Stock | MOption exerciseDisposed | −24,474 | $0.00 | $0 | 0 | Direct |
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 in multiple transactions at prices ranging from $9.06 to $9.85, 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.
Referenced by the price of 2 transactions in Table I.
- F3
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.58 to $9.24, 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.
Referenced by the price of 1 transaction in Table I.