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

Role
Chief Business Officer
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, 09:49 PM
Next filing
Aug 5, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding SERA Class A Common Stock 206K Jul 14, 2021 Direct
holding SERA Class A Common Stock 14.4K Jul 14, 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) Jul 14, 2021 Class A Common Stock 24.3K $0.73 Direct F2
holding SERA Stock Option (right to buy) Jul 14, 2021 Class A Common Stock 93.4K $1.98 Direct F3
holding SERA Stock Option (right to buy) Jul 14, 2021 Class A Common Stock 116K $1.77 Direct F3
holding SERA Stock Option (right to buy) Jul 14, 2021 Class A Common Stock 70.9K $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