Statement of Changes in Beneficial Ownership (4)
September 17 2021 - 4:12PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
OSTADAN OMEAD |
2. Issuer Name and Ticker or Trading Symbol
Seer, Inc.
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SEER
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President & COO |
(Last)
(First)
(Middle)
C/O SEER, INC., 3800 BRIDGE PARKWAY, SUITE 102 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/15/2021 |
(Street)
REDWOOD CITY, CA 94065
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common Stock | 9/15/2021 | | C | | 20000 | A | $2.70 | 397448 | D | |
Class A Common Stock | 9/15/2021 | | S(1) | | 5121 | D | $40.2936 (2) | 392327 | D | |
Class A Common Stock | 9/15/2021 | | S(1) | | 12620 | D | $41.034 (3) | 379707 | D | |
Class A Common Stock | 9/15/2021 | | S(1) | | 2259 | D | $41.8432 (4) | 377448 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (right to buy) | $2.70 | 9/15/2021 | | M | | | 20000 | (5) | 3/5/2030 | Class A Common Stock | 20000 | $0.00 | 345481 | D | |
Employee Stock Option (right to buy) | $2.70 | | | | | | | (6) | 3/5/2030 | Class A Common Stock | 852793 | | 852793 | D | |
Explanation of Responses: |
(1) | The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2021. |
(2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.64 to $40.62, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2), (3) and (4) to this Form 4. |
(3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.64 to $41.63, inclusive. |
(4) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.65 to $42.14, inclusive. |
(5) | The shares underlying the option are subject to an early exercise provision and are immediately exercisable. The shares underlying the option vest in 48 equal monthly installments beginning on April 6, 2020. |
(6) | The shares underlying the option are subject to an early exercise provision and are immediately exercisable. One-fourth of the shares underlying the option vest on June 15, 2021 and 1/48th of the shares vest monthly thereafter. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
OSTADAN OMEAD C/O SEER, INC. 3800 BRIDGE PARKWAY, SUITE 102 REDWOOD CITY, CA 94065 | X |
| President & COO |
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Signatures
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/s/ Elona Kogan, by power of attorney | | 9/17/2021 |
**Signature of Reporting Person | Date |
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