Form Type: 4

SEC EDGAR Link
Accession Number:0001534969-21-000025
Date:2021-11-29
Issuer: SERA PROGNOSTICS, INC. (SERA)
Original Submission Date:

Reporting Person:

LAWRENCE SANDRA AJ
C/O SERA PROGNOSTICS, INC.
2749 EAST PARLEYS WAY, SUITE 200 SALT LAKE CITY, UT 84109

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
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 ExercisableExpiration 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
Footnotes
IDfootnote
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.

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