Nichole L. Martin - 14 Jul 2021 Form 3 Insider Report for SERA PROGNOSTICS, INC. (SERA)

Role
VP OF Q/R & HIPPA PRIV. OFF
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, 21:47:21 UTC
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 120,356 $1.77 Direct F1
holding SERA Stock Option (right to buy) 14 Jul 2021 Class A Common Stock 32,154 $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.

Remarks:

Exhibits 24.1 - Power of Attorney