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: Garite Thomas (VP, Clinical Sciences)

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock Option (right to buy)	$2.16	2029-02-28	Class A Common Stock (4810)		Direct
Stock Option (right to buy)	$1.77	2030-08-20	Class A Common Stock (24050)		Direct
Stock Option (right to buy)	$5.32	2031-03-08	Class A Common Stock (63110)		Direct
Stock Option (right to buy)	$8.88	2031-05-03	Class A Common Stock (33089)		Direct

Footnotes

F1: 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 grant date.

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.