SERA PROGNOSTICS, INC. — Director's Dealing 2023

Jun 7, 2023

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: SERA PROGNOSTICS, INC. (SERA)
CIK: 0001534969
Period of Report: 2023-06-07

Reporting Person: Aerts Austin (Chief Financial Officer)

Holdings (Non-Derivative)

Security	Shares	Ownership
Class A Common Stock	5810	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock Option (right to buy)	$1.98	2027-08-24	Class A Common Stock (4810)		Direct
Stock Option (right to buy)	$2.16	2029-02-28	Class A Common Stock (4810)		Direct
Stock Option (right to buy)	$1.77	2030-02-27	Class A Common Stock (24338)		Direct
Stock Option (right to buy)	$1.77	2030-08-20	Class A Common Stock (2405)		Direct
Stock Option (right to buy)	$5.32	2031-03-08	Class A Common Stock (86580)		Direct
Stock Option (right to buy)	$9.95	2031-08-26	Class A Common Stock (5000)		Direct
Stock Option (right to buy)	$3.75	2032-03-23	Class A Common Stock (40000)		Direct
Stock Option (right to buy)	$3.80	2033-03-06	Class A Common Stock (9190)		Direct

Footnotes

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.