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Sera's New Chief Commercial Officer Granted Major Equity Stake with 4-Year Lock-in

Filing Impact
(Moderate)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Sera Prognostics Chief Commercial Officer Dyaarl Lee Anderson Jr. received significant equity compensation on June 23, 2025, consisting of two components:

  • 67,114 Restricted Stock Units (RSUs) with a four-year vesting schedule: - 25% vests on June 10, 2026 - Remaining 75% vests quarterly over three years
  • 102,534 Stock Options with strike price of $1.87: - 25% vests on June 10, 2026 - Remaining 75% vests monthly over three years

Both grants require continued service with the company. The equity awards suggest a long-term retention strategy for the Chief Commercial Officer position, with zero-cost RSUs balanced against performance-based stock options. The relatively low strike price of $1.87 indicates potential upside opportunity in the company's growth prospects.

Positive

  • Chief Commercial Officer received significant equity compensation package with 67,114 RSUs and 102,534 stock options at $1.87 exercise price, aligning long-term interests with shareholders
  • Four-year vesting schedule with initial 25% cliff suggests strong retention incentives for key commercial leadership

Negative

  • None.
Insider Anderson Dyaarl Lee Jr.
Role Chief Commercial Officer
Type Security Shares Price Value
Grant/Award Stock Option (right to buy) 102,534 $0.00 --
Grant/Award Class A Common Stock 67,114 $0.00 --
Holdings After Transaction: Stock Option (right to buy) — 102,534 shares (Direct); Class A Common Stock — 67,114 shares (Direct)
Footnotes (1)
  1. Each share is represented by a restricted stock unit ("RSU"). These RSUs vest over four years as follows: 25% of the original grant amount vests on the first anniversary of the vesting commencement date, which is June 10, 2025, and 1/12 of the remaining amount vests in quarterly installments for three years thereafter, subject to the Reporting Person continuing to provide services to the issuer. These stock options vest over four years as follows: 25% of the original grant amount vests on the first anniversary of the vesting commencement date, which is June 10, 2025, and 1/36 of the remaining amount vests in monthly installments for three years thereafter, subject to the Reporting Person continuing to provide services to the issuer.
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Form 4 Insider Transactions: What Each Field Means →
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)
06/23/2025
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 06/23/2025 A 67,114(1) A $0 67,114 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) $1.87 06/23/2025 A 102,534 (2) 06/23/2035 Class A Common Stock 102,534 $0 102,534 D
Explanation of Responses:
1. Each share is represented by a restricted stock unit ("RSU"). These RSUs vest over four years as follows: 25% of the original grant amount vests on the first anniversary of the vesting commencement date, which is June 10, 2025, and 1/12 of the remaining amount vests in quarterly installments for three years thereafter, subject to the Reporting Person continuing to provide services to the issuer.
2. These stock options vest over four years as follows: 25% of the original grant amount vests on the first anniversary of the vesting commencement date, which is June 10, 2025, and 1/36 of the remaining amount vests in monthly installments for three years thereafter, subject to the Reporting Person continuing to provide services to the issuer.
/s/ Benjamin G. Jackson, Attorney-in-fact 06/23/2025
** 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.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Source: View Original Filing on SEC EDGAR

FAQ

How many RSUs did SERA's Chief Commercial Officer receive on June 23, 2025?

SERA's Chief Commercial Officer, Dyaarl Lee Anderson Jr., received 67,114 restricted stock units (RSUs) on June 23, 2025.

What is the vesting schedule for SERA's CCO's stock options granted in June 2025?

The stock options vest over 4 years with 25% vesting on June 10, 2026 (first anniversary of vesting commencement date), and the remaining 75% vesting in monthly installments over the following three years, subject to continued service.

What is the exercise price of stock options granted to SERA's CCO in June 2025?

The stock options were granted with an exercise price of $1.87 per share and expire on June 23, 2035.

How many stock options did SERA's Chief Commercial Officer receive in the June 2025 grant?

SERA's Chief Commercial Officer received 102,534 stock options (right to buy) on June 23, 2025.

What is the vesting schedule for the RSUs granted to SERA's CCO in June 2025?

The RSUs vest over 4 years with 25% vesting on June 10, 2026 (first anniversary of vesting commencement date), and the remaining 75% vesting in quarterly installments over the following three years, subject to continued service.