| Accession Number: | 0001534969-22-000085 |
| Date: | 2022-06-03 |
| Issuer: | SERA PROGNOSTICS, INC. (SERA) |
| Original Submission Date: |
PHILLIPS JOSHUA
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) | 1.35 | 2022-06-03 | deemed execution date | A | 149,675 (a) | 2032-06-03 | class a common stock 149,675 | $1.35 | 149,675 | direct |
| ID | footnote |
|---|---|
| f1 | consists of stock options granted pursuant to sera prognostics, inc.'s non-employee director compensation policy and its 2021 equity incentive plan. these stock options vest over one year as follows: 1/12 of the original grant amount vests in monthly installments for one year following the vesting commencement date, which is june 3, 2022. |
