Thomas Garite - 14 Jul 2021 Form 3 Insider Report for SERA PROGNOSTICS, INC. (SERA)

Role
VP, Clinical Sciences
Signature
/s/ Nishant Dharia, Attorney-in-fact
Issuer symbol
SERA
Transactions as of
14 Jul 2021
Net transactions value
$0
Form type
3
Filing time
14 Jul 2021, 21:32:06 UTC
Next filing
09 Sep 2021
SEC
View on sec.gov

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding SERA Stock Option (right to buy) 14 Jul 2021 Class A Common Stock 4,810 $2.16 Direct F1
holding SERA Stock Option (right to buy) 14 Jul 2021 Class A Common Stock 24,050 $1.77 Direct F2
holding SERA Stock Option (right to buy) 14 Jul 2021 Class A Common Stock 63,110 $5.32 Direct F3
holding SERA Stock Option (right to buy) 14 Jul 2021 Class A Common Stock 33,089 $8.88 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These stock options vest over two years as follows: 1/24 of the original grant amount vests in monthly installments for two years following the grant date.
F2 These stock options vest over four years as follows: 25% of the original grant amount vests on the first anniversary of the vesting commencement date and 1/36 of the original grant amount vests in monthly installments for three years following the grant date.
F3 These stock options vest over four years as follows: 1/48 of the original grant amount vests in monthly installments for four years following the grant date.

Remarks:

Exhibits 24.1 - Power of Attorney