| Accession Number: | 0001534969-21-000025 |
| Date: | 2021-11-29 |
| Issuer: | SERA PROGNOSTICS, INC. (SERA) |
| Original Submission Date: |
LAWRENCE SANDRA AJ
C/O SERA PROGNOSTICS, INC.
2749 EAST PARLEYS WAY, SUITE 200
SALT LAKE CITY, UT 84109
| Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
|---|
| Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| STOCK OPTION (RIGHT TO BUY) | 10.41 | 2021-11-29 | deemed execution date | A | 40,332 (a) | 2031-11-29 | class a common stock 40,332 | $10.41 | 40,332 | direct |
| ID | footnote |
|---|---|
| f1 | these stock options vest over three years as follows: 1/36 of the original grant amount vests in monthly installments for three years following the vesting commencement date, which is november 29, 2021. |
