Joshua Phillips - 05 Jun 2025 Form 4 Insider Report for SERA PROGNOSTICS, INC. (SERA)

Reporting relationship: Director
Issuer ticker: SERA
Reported as of: 05 Jun 2025
Net transaction value: $0
SEC form: 4
Accepted by SEC: 06 Jun 2025, 18:40:08 UTC
Prior SEC filing: 14 Jan 2025
Source filing: View source filing
Reporting owner signature: /s/ Benjamin G. Jackson, Attorney-in-fact

Key filing fact

Joshua Phillips filed Form 4 for SERA PROGNOSTICS, INC. (SERA) on 06 Jun 2025.

Key facts

This page summarizes Joshua Phillips's Form 4 filing for SERA PROGNOSTICS, INC. (SERA).
2 reported transactions and 1 derivative row are listed below.
Accepted by SEC: 06 Jun 2025, 18:40.

Change

Previous filing in this sequence was filed on 14 Jan 2025.
Current net transaction value: $0.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reporting Owners (1)

CIK 0001871555 Primary reporting owner

Phillips Joshua

Relationship: Director
Address: C/O SERA PROGNOSTICS, INC., 2749 EAST PARLEYS WAY, SUITE 200, SALT LAKE CITY
Signature: /s/ Benjamin G. Jackson, Attorney-in-fact
Signature date: 06 Jun 2025

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

SERA transaction

Class A Common Stock

Award

Transaction value: $0
Shares: +15,596
Change %: +38%
Price: $0.000000
Shares after: 57,005
Date: 05 Jun 2025
Ownership: Direct
Footnotes: F1

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

SERA transaction Derivative

Stock Option (right to buy)

Award

Transaction value: $0
Shares: +25,000
Change %
Price: $0.000000
Shares after: 25,000
Date: 05 Jun 2025
Ownership: Direct
Underlying class: Class A Common Stock
Underlying amount: 25,000
Exercise price: $1.60
Footnotes: F2

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 2 footnotes

Footnote F1

Each share is represented by a restricted stock unit ("RSU"). These RSUs vest over one year as follows: 1/12 of the original grant amount vests in monthly installments for one year following the vesting commencement date, which is June 5, 2025, subject to the Reporting Person continuing to provide services to the issuer.

Footnote F2

Consists of stock options granted pursuant to Sera Prognostics, Inc.'s Non-Employee Director Compensation Policy and its 2021 Equity Incentive Plan. These stock options vest over one year as follows: 1/12 of the original grant amount vests in monthly installments for one year following the vesting commencement date, which is June 5, 2025.