Filing Details

Accession Number:
0001193125-24-010648
Form Type:
13G Filing
Publication Date:
2024-01-18 19:00:00
Filed By:
Interwest Partners X Lp
Company:
Sera Prognostics Inc.
Filing Date:
2024-01-19
SEC Url:
13G Filing
Ownership Summary

Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.

Name Sole Voting Power Shared Voting Power Sole Dispositive Power Shared Dispositive Power Aggregate Amount Owned Power Percent of Class
InterWest Partners X 126,258 0 126,258 0 126,258 0.4%
InterWest Management Partners X 126,258 0 126,258 0 126,258 0.4%
Keval Desai (a Venture Member of InterWest Management Partners X 0 126,258 0 126,258 126,258 0.4%
Gilbert H. Kliman (a Managing Director of InterWest Management Partners X 0 126,258 0 126,258 126,258 0.4%
Khaled A. Nasr (a Venture Member of InterWest Management Partners X 0 126,258 0 126,258 126,258 0.4%
Filing
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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(AMENDMENT NO___2___)*

 

 

Sera Prognostics, Inc.

(Name of Issuer)

Class A Common Stock

(Title of Class of Securities)

81749D107

(CUSIP Number)

December 31, 2023

(Date of Event which Requires Filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

☐ Rule 13d-1(b)

☐ Rule 13d-1(c)

☒ Rule 13d-1(d)

 

*

The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 

 

Page 1 of 9 Pages


Cusip No. 81749D107    13G    Page 2 of 9 Pages

 

  1    

  NAME OF REPORTING PERSONS

 

  InterWest Partners X, LP (IWP X)

  2  

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)  ☐        (b)  ☐

 

  3  

  SEC USE ONLY

 

  4  

  CITIZENSHIP OR PLACE OF ORGANIZATION

 

  California

NUMBER OF

SHARES

 BENEFICIALLY 

OWNED BY

REPORTING

PERSON

WITH

   5    

  SOLE VOTING POWER

 

  126,258

   6  

  SHARED VOTING POWER

 

  0

   7  

  SOLE DISPOSITIVE POWER

 

  126,258

   8  

  SHARED DISPOSITIVE POWER

 

  0

  9    

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

  126,258 (1)

10  

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES :

 

  ☐

11  

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

  0.4% (2)

12  

  TYPE OF REPORTING PERSON

 

  PN

 

(1)

The shares are owned by IWP X and include 126,258 shares of Class A Common Stock issuable pursuant to Class A common stock purchase warrants.

(2)

Based upon 30,368,753 and 967,759 shares of the Issuers Class A and B Common Stock outstanding as of November 3, 2023, as reported in the Issuers Form 10-Q filed with the Securities and Exchange Commission (the SEC) on November 8, 2023.

 

Page 2 of 9 Pages


Cusip No. 81749D107    13G    Page 3 of 9 Pages

 

  1    

  NAME OF REPORTING PERSONS

 

  InterWest Management Partners X, LLC (the General Partner of InterWest Partners X, LP)

  2  

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)  ☐        (b)  ☐

 

  3  

  SEC USE ONLY

 

  4  

  CITIZENSHIP OR PLACE OF ORGANIZATION

 

  California

NUMBER OF

SHARES

 BENEFICIALLY 

OWNED BY

REPORTING

PERSON

WITH

   5    

  SOLE VOTING POWER

 

  126,258

   6  

  SHARED VOTING POWER

 

  0

   7  

  SOLE DISPOSITIVE POWER

 

  126,258

   8  

  SHARED DISPOSITIVE POWER

 

  0

  9    

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

  126,258 (1)

10  

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES :

 

  ☐

11  

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

  0.4% (2)

12  

  TYPE OF REPORTING PERSON

 

  OO

 

(1)

The shares are owned by IWP X and include 126,258 shares of Class A Common Stock issuable pursuant to Class A common stock purchase warrants.

(2)

Based upon 30,368,753 and 967,759 shares of the Issuers Class A and B Common Stock outstanding as of November 3, 2023, as reported in the Issuers Form 10-Q filed with the Securities and Exchange Commission (the SEC) on November 8, 2023.

 

Page 3 of 9 Pages


Cusip No. 81749D107    13G    Page 4 of 9 Pages

 

  1    

  NAME OF REPORTING PERSONS

 

  Keval Desai (a Venture Member of InterWest Management Partners X, LLC)

  2  

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)  ☐        (b)  ☐

 

  3  

  SEC USE ONLY

 

  4  

  CITIZENSHIP OR PLACE OF ORGANIZATION

 

  United States

NUMBER OF

SHARES

 BENEFICIALLY 

OWNED BY

REPORTING

PERSON

WITH

   5    

  SOLE VOTING POWER

 

  0

   6  

  SHARED VOTING POWER

 

  126,258

   7  

  SOLE DISPOSITIVE POWER

 

  0

   8  

  SHARED DISPOSITIVE POWER

 

  126,258

  9    

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

  126,258

10  

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES :

 

  ☐

11  

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

  0.4%

12  

  TYPE OF REPORTING PERSON

 

  IN

Neither the filing of this statement on Schedule 13G nor any of its contents shall be deemed to constitute an admission by Keval Desai that he is the beneficial owner of any of the Common Stock referred to herein for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, or for any other purpose.

 

Page 4 of 9 Pages


Cusip No. 81749D107    13G    Page 5 of 9 Pages

 

  1    

  NAME OF REPORTING PERSONS

 

  Gilbert H. Kliman (a Managing Director of InterWest Management Partners X, LLC)

  2  

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)  ☐        (b)  ☐

 

  3  

  SEC USE ONLY

 

  4  

  CITIZENSHIP OR PLACE OF ORGANIZATION

 

  United States

NUMBER OF

SHARES

 BENEFICIALLY 

OWNED BY

REPORTING

PERSON

WITH

   5    

  SOLE VOTING POWER

 

  0

   6  

  SHARED VOTING POWER

 

  126,258

   7  

  SOLE DISPOSITIVE POWER

 

  0

   8  

  SHARED DISPOSITIVE POWER

 

  126,258

  9    

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

  126,258

10  

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES :

 

  ☐

11  

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

  0.4%

12  

  TYPE OF REPORTING PERSON

 

  IN

Neither the filing of this statement on Schedule 13G nor any of its contents shall be deemed to constitute an admission by Gilbert H. Kliman that he is the beneficial owner of any of the Common Stock referred to herein for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, or for any other purpose.

 

Page 5 of 9 Pages


Cusip No. 81749D107    13G    Page 6 of 9 Pages

 

  1    

  NAME OF REPORTING PERSONS

 

  Khaled A. Nasr (a Venture Member of InterWest Management Partners X, LLC)

  2  

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)  ☐        (b)  ☐

 

  3  

  SEC USE ONLY

 

  4  

  CITIZENSHIP OR PLACE OF ORGANIZATION

 

  United States

NUMBER OF

SHARES

 BENEFICIALLY 

OWNED BY

REPORTING

PERSON

WITH

   5    

  SOLE VOTING POWER

 

  0

   6  

  SHARED VOTING POWER

 

  126,258

   7  

  SOLE DISPOSITIVE POWER

 

  0

   8  

  SHARED DISPOSITIVE POWER

 

  126,258

  9    

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

  126,258

10  

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES :

 

  ☐

11  

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

  0.4%

12  

  TYPE OF REPORTING PERSON

 

  IN

Neither the filing of this statement on Schedule 13G nor any of its contents shall be deemed to constitute an admission by Khaled A. Nasr that he is the beneficial owner of any of the Common Stock referred to herein for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, or for any other purpose.

 

Page 6 of 9 Pages


Cusip No. 81749D107    13G    Page 7 of 9 Pages

 

ITEM 1.

 

(a)

NAME OF ISSUER: Sera Prognostics, Inc.

 

(b)

ADDRESS OF ISSUERS PRINCIPAL EXECUTIVE OFFICE:

2749 E Parleys Way #200, Salt Lake City, UT 84109

 

ITEM 2.

 

(a)

NAME OF PERSON(S) FILING:

InterWest Partners X, LP (IWP X)

InterWest Management Partners X, LLC (IMP X)

Keval Desai (Desai)

Gilbert H. Kliman (Kliman)

Khaled A. Nasr (Nasr)

 

(b)

ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE:

548 Market Street, PMB 44661, San Francisco, CA 94104-5401

 

(c)

CITIZENSHIP/PLACE OF ORGANIZATION:

 

IWP X:    California
IMP X:    California
Desai:    United States
Kliman:    United States
Nasr:    United States

 

(d)

TITLE OF CLASS OF SECURITIES: Class A Common Stock

 

(e)

CUSIP NUMBER: 81749D107

ITEM 3. NOT APPLICABLE.

 

Page 7 of 9 Pages


Cusip No. 81749D107    13G    Page 8 of 9 Pages

 

ITEM 4. OWNERSHIP.

 

     IWP X     IMP X (1)     Desai (2)     Kliman (2)     Nasr (2)  

Beneficial Ownership

     126,258  (3)      126,258  (3)      126,258  (3)      126,258  (3)      126,258  (3) 

Percentage of Class

     0.4 % (4)      0.4 % (4)      0.4 % (4)      0.4 % (4)      0.4 % (4) 

Sole Voting Power

     126,258       126,258       0       0       0  

Shared Voting Power

     0       0       126,258       126,258       126,258  

Sole Dispositive Power

     126,258       126,258       0       0       0  

Shared Dispositive Power

     0       0       126,258       126,258       126,258  

 

(1)

IMP X is the general partner of IWP X.

 

(2)

Kliman is a Managing Director of IMP X. Desai and Nasr are Venture Members of IMP X. The Managing Directors and Venture Members of IMP X share voting and investment control over shares held by IWP X.

 

(3)

The shares are owned by IWP X and include 126,258 shares of Class A Common Stock issuable pursuant to Class A common stock purchase warrants.

 

(4)

Based upon 30,368,753 and 967,759 shares of the Issuers Class A and B Common Stock outstanding as of November 3, 2023, as reported in the Issuers Form 10-Q filed with the Securities and Exchange Commission (the SEC) on November 8, 2023.

ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following ☒

ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.

Under certain circumstances set forth in the limited liability company operating agreement of IMP X, the members of such limited liability company have the right to receive dividends from, or the proceeds from the sale of, the common stock of Issuer beneficially owned by such limited liability company.

ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY.

Not applicable.

ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP.

No reporting person is a member of a group as defined in section 240.13d-1(b)(1)(iii)(H) of the Act.

ITEM 9. NOTICE OF DISSOLUTION OF THE GROUP.

Not applicable.

 

Page 8 of 9 Pages


Cusip No. 81749D107    13G    Page 9 of 9 Pages

 

ITEM 10. CERTIFICATION.

Not applicable.

EXHIBITS

Joint Filing Statement attached as Exhibit A.

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Date: January 19, 2024

 

INTERWEST PARTNERS X, LP
By:   InterWest Management Partners X, LLC, its General Partner
By:  

/s/ Karen A. Wilson, Power of Attorney

  Attorney-in-Fact
INTERWEST MANAGEMENT PARTNERS X, LLC
By:  

Karen A. Wilson, Power of Attorney

  Attorney-in-Fact
By:  

/s/ Keval Desai by Karen A. Wilson, Power of Attorney

Name:   Keval Desai
By:  

/s/ Gilbert H. Kliman by Karen A. Wilson, Power of Attorney

Name:   Gilbert H. Kliman
By:  

/s/ Khaled A. Nasr by Karen A. Wilson, Power of Attorney

Name:   Khaled A. Nasr

 

Page 9 of 9 Pages