John M. Peltier - Jul 14, 2021 Form 3 Insider Report for SERA PROGNOSTICS, INC. (SERA)

Role
SVP of Lab Operations
Signature
/s/ Nishant Dharia, Attorney-in-fact
Stock symbol
SERA
Transactions as of
Jul 14, 2021
Transactions value $
$0
Form type
3
Date filed
7/14/2021, 09:36 PM

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) Jul 14, 2021 Class A Common Stock 84.2K $1.73 Direct F1
holding SERA Stock Option (right to buy) Jul 14, 2021 Class A Common Stock 35.6K $1.98 Direct F2
holding SERA Stock Option (right to buy) Jul 14, 2021 Class A Common Stock 12K $2.16 Direct F3
holding SERA Stock Option (right to buy) Jul 14, 2021 Class A Common Stock 60.1K $1.77 Direct F2
holding SERA Stock Option (right to buy) Jul 14, 2021 Class A Common Stock 62.4K $5.32 Direct F2
* 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 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.
F2 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.
F3 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.

Remarks:

Exhibits 24.1 - Power of Attorney