Sera Prognostics grants RSUs and options to director
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Form Type
4
Rhea-AI Filing Summary
Sera Prognostics director Mark Christopher Capone received equity compensation on July 10, 2026: RSU awards for 1,975 shares vesting in three annual installments from July 10, 2027, and 42,404 RSUs vesting on the earlier of July 10, 2027 or the next Annual Meeting. He also received stock options for 3,037 and 62,766 shares at a $1.97 exercise price, vesting monthly over three years and one year, respectively, with all vesting contingent on continued service.
Insider Trade Summary
Grant/Award: 110,182 shares
Grant/Award
4 txns
Insider
Capone Mark Christopher
Role
Director
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Grant/Award | Stock Option (right to buy) F3 | 62,766 | $0.00 | $0.00 |
| Grant/Award | Stock Option (right to buy) F4 | 3,037 | $0.00 | $0.00 |
| Grant/Award | Class A Common Stock F1 | 42,404 | $0.00 | $0.00 |
| Grant/Award | Class A Common Stock F2 | 1,975 | $0.00 | $0.00 |
Holdings After Transaction:
Stock Option (right to buy) — 65,803 contracts (Direct);
Class A Common Stock — 44,379 shares (Direct)
Footnotes (4)
- F1. Each share is represented by a restricted stock unit ("RSU") granted pursuant to the issuer's Non-Employee Director Compensation Policy and its 2021 Equity Incentive Plan. These RSUs vest in three annual installments beginning with July 10, 2027, subject to the Reporting Person continuing to provide services to the issuer.
- F2. Each share is represented by an additional RSU granted by the Board of Directors. These RSUs vest on the earlier of July 10, 2027 or the date of the issuer's next Annual Meeting of Stockholders, subject to the Reporting Person continuing to provide services to the issuer.
- F3. Consists of stock options granted pursuant to the issuer's Non-Employee Director Compensation Policy and its 2021 Equity Incentive Plan. 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 grant date, subject to the Reporting Person continuing to provide services to the issuer.
- F4. 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 grant date; provided, however, that the stock options shall be fully vested on the earlier of the first anniversary of the grant date or the date of the issuer's next Annual Meeting of Stockholders, subject to the Reporting Person continuing to provide services to the issuer.
Key Figures
RSU grant 1: 1,975 shares
RSU grant 2: 42,404 shares
Stock options grant 1: 3,037 shares at $1.97
+1 more
4 metrics
RSU grant 1
1,975 shares
RSUs vest in three annual installments beginning July 10, 2027
RSU grant 2
42,404 shares
RSUs vest on the earlier of July 10, 2027 or the next Annual Meeting
Stock options grant 1
3,037 shares at $1.97
Options expiring July 10, 2036; vest 1/36 monthly over three years
Stock options grant 2
62,766 shares at $1.97
Options expiring July 10, 2036; vest 1/12 monthly over one year or earlier at next Annual Meeting
Key Terms
restricted stock unit ("RSU"), Non-Employee Director Compensation Policy, 2021 Equity Incentive Plan, Annual Meeting of Stockholders
4 terms
restricted stock unit ("RSU") financial
"Each share is represented by a restricted stock unit ("RSU") granted pursuant..."
Non-Employee Director Compensation Policy financial
"granted pursuant to the issuer's Non-Employee Director Compensation Policy and its 2021 Equity Incentive Plan"
2021 Equity Incentive Plan financial
"pursuant to the issuer's Non-Employee Director Compensation Policy and its 2021 Equity Incentive Plan"
Annual Meeting of Stockholders financial
"vest on the earlier of July 10, 2027 or the date of the issuer's next Annual Meeting of Stockholders"
FAQ
AI-generated questions and answers. How Rhea-AI works. Not financial advice.
What equity awards did SERA director Mark Christopher Capone receive on July 10, 2026?
On July 10, 2026, he received RSUs for 1,975 and 42,404 shares and stock options for 3,037 and 62,766 shares at $1.97. These awards are equity compensation grants rather than open-market purchases or sales.
How do the 1,975 SERA RSUs granted to Mark Christopher Capone vest?
The 1,975 RSUs vest in three annual installments beginning July 10, 2027. Vesting is conditioned on Mark Christopher Capone continuing to provide services to Sera Prognostics throughout the vesting period.
When do the additional 42,404 SERA RSUs granted to Mark Christopher Capone vest?
The 42,404 RSUs vest on the earlier of July 10, 2027 or Sera Prognostics’ next Annual Meeting of Stockholders. Vesting requires that he continue providing services to the company until that vesting date.
What are the key terms of Mark Christopher Capone’s new SERA stock options?
He received stock options for 3,037 and 62,766 shares at a $1.97 exercise price, expiring July 10, 2036. The 3,037-share grant vests 1/36 monthly over three years, while the 62,766-share grant vests 1/12 monthly over one year, subject to service.
How does the vesting of Mark Christopher Capone’s 62,766 SERA stock options work?
The 62,766 options vest over one year in 1/12 monthly installments. They become fully vested on the earlier of the first anniversary of the grant date or Sera Prognostics’ next Annual Meeting, assuming continued service.
Are the SERA Form 4 transactions for Mark Christopher Capone open-market buys or compensation grants?
They are compensation-related grants, coded as awards (A), not open-market purchases or sales. The filings report RSU and stock option grants made under Sera Prognostics’ Non-Employee Director Compensation Policy and 2021 Equity Incentive Plan.
AI-generated analysis. How Rhea-AI works. Not financial advice.
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