SERA PROGNOSTICS, INC. — Director's Dealing 2021

Jul 15, 2021

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: SERA PROGNOSTICS, INC. (SERA)
CIK: 0001534969
Period of Report: 2021-07-14

Reporting Person: Fisher Douglas (Chief Business Officer)

Holdings (Non-Derivative)

Security	Shares	Ownership
Class A Common Stock	206132	Direct
Class A Common Stock	14430	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock Option (right to buy)	$0.73	2022-03-14	Class A Common Stock (24290)		Direct
Stock Option (right to buy)	$1.98	2027-05-18	Class A Common Stock (93388)		Direct
Stock Option (right to buy)	$1.77	2030-02-27	Class A Common Stock (116161)		Direct
Stock Option (right to buy)	$5.32	2031-03-08	Class A Common Stock (70911)		Direct

Footnotes

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.