SERA CCO awarded options and RSUs

SERA PROGNOSTICS, INC.

Rhea-AI Filing Summary

SERA PROGNOSTICS, INC. Chief Commercial Officer Dyaarl Lee Anderson Jr. received new equity awards as part of his compensation. He was granted stock options covering 19,310 shares of Class A common stock at an exercise price of $1.99 per share, expiring on March 12, 2036. He also received 12,455 shares of Class A common stock in the form of restricted stock units. These RSUs vest over four years, with 1/16 of the original amount vesting in quarterly installments starting on March 10, 2026, while the options vest over four years with 1/48 vesting in monthly installments from the same date. Following these awards, his direct Class A common stock holdings total 79,569 shares.

Insider Trade Summary

Grant/Award: 31,765 shares

Grant/Award 2 txns

Insider Anderson Dyaarl Lee Jr.

Role Chief Commercial Officer

Type	Security	Shares	Price	Value
Grant/Award	Stock Option (right to buy)	19,310	$0.00	$0.00
Grant/Award	Class A Common Stock	12,455	$0.00	$0.00

Holdings After Transaction: Stock Option (right to buy) — 19,310 contracts (Direct); Class A Common Stock — 79,569 shares (Direct)

Footnotes (2)

1. F1. Each share is represented by a restricted stock unit ("RSU"). These RSUs vest over four years as follows: 1/16 of the original grant amount vests in quarterly installments for four years following the vesting commencement date, which is March 10, 2026, subject to the Reporting Person continuing to provide services to the issuer.
2. F2. 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 10, 2026, subject to the Reporting Person continuing to provide services to the issuer.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What equity awards did SERA (SERA) grant to its Chief Commercial Officer?

SERA granted Chief Commercial Officer Dyaarl Lee Anderson Jr. stock options on 19,310 shares at $1.99 per share and 12,455 restricted stock units. These awards increase his equity stake and align compensation with long-term company performance over multi-year vesting schedules.

How do the new restricted stock units for SERA’s CCO vest?

Each restricted stock unit represents one share of Class A common stock and vests over four years. 1/16 of the original 12,455-unit grant vests in quarterly installments beginning on March 10, 2026, contingent on continued service with SERA PROGNOSTICS, INC. throughout the vesting period.

What are the vesting terms of the new SERA stock options granted to the CCO?

The stock options for 19,310 shares vest over four years, with 1/48 of the original grant vesting in monthly installments starting on March 10, 2026. Vesting is conditioned on Dyaarl Lee Anderson Jr. continuing to provide services to SERA during this period.

What is the exercise price and expiration date of the SERA stock options?

The options have an exercise price of $1.99 per share and expire on March 12, 2036. This means the Chief Commercial Officer can purchase SERA Class A common stock at $1.99 per share any time after vesting until that expiration date.

How many SERA shares does the Chief Commercial Officer hold after these grants?

After the new restricted stock unit grant, Dyaarl Lee Anderson Jr. directly holds 79,569 shares of SERA Class A common stock. This total reflects his updated non-derivative ownership position as of the transaction date, excluding the newly granted but unexercised stock options.

Are the SERA equity grants to the CCO open-market purchases or sales?

These transactions are classified as “A” code awards, meaning grants or other acquisitions, not open-market trades. The options and restricted stock units were issued by SERA as compensation, with no purchase price paid in the transactions reported in this filing.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 03/13/2026 - 06:27 PM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Anderson Dyaarl Lee Jr.

(Last) (First) (Middle)

C/O SERA PROGNOSTICS, INC.

2749 EAST PARLEYS WAY, SUITE 200

(Street)

SALT LAKE CITY UT 84109

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
SERA PROGNOSTICS, INC. [ SERA ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Commercial Officer

3. Date of Earliest Transaction (Month/Day/Year)
03/12/2026

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Class A Common Stock	03/12/2026		A		12,455(1)	A	$0	79,569	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option (right to buy)	$1.99	03/12/2026		A		19,310		(2)	03/12/2036	Class A Common Stock	19,310	$0	19,310	D

Explanation of Responses:

1. Each share is represented by a restricted stock unit ("RSU"). These RSUs vest over four years as follows: 1/16 of the original grant amount vests in quarterly installments for four years following the vesting commencement date, which is March 10, 2026, subject to the Reporting Person continuing to provide services to the issuer.

2. 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 10, 2026, subject to the Reporting Person continuing to provide services to the issuer.

	/s/ Benjamin G. Jackson, Attorney-in-fact	03/13/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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