Douglas Carl Fisher - 14 Jul 2021 Form 3 Insider Report for SERA PROGNOSTICS, INC. (SERA)

Role
Chief Business Officer
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, 21:49:02 UTC
Next filing
05 Aug 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding SERA Class A Common Stock 206,132 14 Jul 2021 Direct
holding SERA Class A Common Stock 14,430 14 Jul 2021 Fisher 2015 Children's Irrevocable Trust F1

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 24,290 $0.7300 Direct F2
holding SERA Stock Option (right to buy) 14 Jul 2021 Class A Common Stock 93,388 $1.98 Direct F3
holding SERA Stock Option (right to buy) 14 Jul 2021 Class A Common Stock 116,161 $1.77 Direct F3
holding SERA Stock Option (right to buy) 14 Jul 2021 Class A Common Stock 70,911 $5.32 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Dr. Fisher is a Trustee of the Fisher 2015 Children's Irrevocable Trust. Dr. Fisher, in such capacity, may be deemed to indriectly beneficially own the securities owned by the trust except to the extent of his pecuniary interest therein, if any.
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