Austin Aerts - Jun 7, 2023 Form 3 Insider Report for SERA PROGNOSTICS, INC. (SERA)

Role
Chief Financial Officer
Signature
/s/ Benjamin G. Jackson, Attorney-in-fact
Stock symbol
SERA
Transactions as of
Jun 7, 2023
Transactions value $
$0
Form type
3
Date filed
6/7/2023, 04:30 PM
Next filing
Nov 8, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding SERA Class A Common Stock 5.81K Jun 7, 2023 Direct 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) Jun 7, 2023 Class A Common Stock 4.81K $1.98 Direct F2
holding SERA Stock Option (right to buy) Jun 7, 2023 Class A Common Stock 4.81K $2.16 Direct F2
holding SERA Stock Option (right to buy) Jun 7, 2023 Class A Common Stock 24.3K $1.77 Direct F3
holding SERA Stock Option (right to buy) Jun 7, 2023 Class A Common Stock 2.41K $1.77 Direct F4
holding SERA Stock Option (right to buy) Jun 7, 2023 Class A Common Stock 86.6K $5.32 Direct F5
holding SERA Stock Option (right to buy) Jun 7, 2023 Class A Common Stock 5K $9.95 Direct F6
holding SERA Stock Option (right to buy) Jun 7, 2023 Class A Common Stock 40K $3.75 Direct F7
holding SERA Stock Option (right to buy) Jun 7, 2023 Class A Common Stock 9.19K $3.80 Direct F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each share is represented by a restricted stock unit ("RSU"). These RSUs vest over four years as follows: 1/4 of the original grant amount vests in annual installments for four years following the vesting commencement date, which is March 6, 2023, subject to the reporting person continuing to provide services to the issuer.
F2 The shares subject to this option are fully vested and exercisable.
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 vesting commencement date, which is February 27, 2020, subject to the reporting person continuing to provide services to the issuer.
F4 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, which is July 1, 2020, subject to the reporting person continuing to provide services to the issuer.
F5 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, which is March 8, 2021, subject to the reporting person continuing to provide services to the issuer.
F6 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, which is August 26, 2021, subject to the reporting person continuing to provide services to the issuer.
F7 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, which is March 23, 2022, subject to the reporting person continuing to provide services to the issuer.
F8 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, which is March 6, 2023, subject to the reporting person continuing to provide services to the issuer.

Remarks:

Exhibit 24.1 - Power of Attorney