Paul Kearney - 01 Oct 2021 Form 3 Insider Report for SERA PROGNOSTICS, INC. (SERA)

Role
Chief Data Officer
Signature
/s/ Nishant Dharia, Attorney-in-fact
Issuer symbol
SERA
Transactions as of
01 Oct 2021
Net transactions value
$0
Form type
3
Filing time
20 Oct 2021, 21:31:46 UTC
Next filing
01 Nov 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) 01 Oct 2021 Class A Common Stock 24,050 $0.7500 Direct F1
holding SERA Stock Option (right to buy) 01 Oct 2021 Class A Common Stock 44,646 $0.8300 Direct F2
holding SERA Stock Option (right to buy) 01 Oct 2021 Class A Common Stock 34,189 $1.62 Direct F2
holding SERA Stock Option (right to buy) 01 Oct 2021 Class A Common Stock 36,075 $1.98 Direct F1
holding SERA Stock Option (right to buy) 01 Oct 2021 Class A Common Stock 24,050 $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: 1/48 of the original grant amount vests in monthly installments for four years following the vesting commencement date.
F2 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 vesting commencement date.

Remarks:

Exhibits 24.1 - Power of Attorney