0001534969-23-000013.txt : 20230307 0001534969-23-000013.hdr.sgml : 20230307 20230307194922 ACCESSION NUMBER: 0001534969-23-000013 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230306 FILED AS OF DATE: 20230307 DATE AS OF CHANGE: 20230307 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Foley Michael R CENTRAL INDEX KEY: 0001892321 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40606 FILM NUMBER: 23714483 MAIL ADDRESS: STREET 1: C/O SERA PROGNOSTICS INC STREET 2: 2749 EAST PARLEYS WAY SUITE 200 CITY: SALT LAKE CITY STATE: UT ZIP: 04109 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SERA PROGNOSTICS, INC. CENTRAL INDEX KEY: 0001534969 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MEDICAL LABORATORIES [8071] IRS NUMBER: 261911522 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2749 E. PARLEYS WAY STREET 2: SUITE 200 CITY: SALT LAKE CITY STATE: UT ZIP: 84109 BUSINESS PHONE: (801) 990-0520 MAIL ADDRESS: STREET 1: 2749 E. PARLEYS WAY STREET 2: SUITE 200 CITY: SALT LAKE CITY STATE: UT ZIP: 84109 4 1 wf-form4_167823655156888.xml FORM 4 X0306 4 2023-03-06 0 0001534969 SERA PROGNOSTICS, INC. SERA 0001892321 Foley Michael R C/O SERA PROGNOSTICS, INC. 2749 EAST PARLEYS WAY, SUITE 200 SALT LAKE CITY UT 84109 0 1 0 0 Chief Medical Officer Class A Common Stock 2023-03-06 4 A 0 27000 0 A 27000 D Stock Option (right to buy) 3.8 2023-03-06 4 A 0 42700 0 A 2033-03-06 Class A Common Stock 42700.0 42700 D 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. 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. /s/ Benjamin G. Jackson, Attorney-in-fact 2023-03-07