SERA (SERA) Chief Medical Officer receives new stock options and RSUs

Rhea-AI Filing Summary

SERA PROGNOSTICS, INC. Chief Medical Officer Tiffany Eul Davis reported receiving new equity awards. She was granted stock options covering 27,034 shares of Class A Common Stock at an exercise price of $1.99 per share, expiring on March 12, 2036.

She also received 17,437 shares of Class A Common Stock in the form of restricted stock units. According to the terms, these RSUs vest over four years in quarterly installments starting on March 10, 2026, while the options vest monthly over four years from the same date, contingent on continued service.

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

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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^*

Inglis Tiffany Eul Davis

(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 Medical 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		17,437(1)	A	$0	92,437	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		27,034		(2)	03/12/2036	Class A Common Stock	27,034	$0	27,034	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.
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FAQ

What equity awards did SERA's Chief Medical Officer report on this Form 4?

The Chief Medical Officer reported a grant of stock options for 27,034 shares at an exercise price of $1.99 and 17,437 restricted stock units. Both awards are compensation-related grants rather than open-market purchases or sales, and increase her direct equity exposure to SERA PROGNOSTICS, INC.

How do the new stock options granted to SERA’s CMO vest over time?

The stock options for 27,034 shares vest over four years in monthly installments. Vesting begins on March 10, 2026, with 1/48 of the original grant vesting each month, contingent on the Chief Medical Officer continuing to provide services to SERA PROGNOSTICS, INC.

What are the vesting terms of the restricted stock units granted to SERA’s CMO?

Each restricted stock unit represents one share of Class A Common Stock, and 17,437 RSUs were granted. These RSUs vest over four years in quarterly installments, with 1/16 of the original grant vesting each quarter from March 10, 2026, subject to continued service with SERA PROGNOSTICS, INC.

Did the SERA CMO buy or sell shares on the open market in this Form 4?

No open-market buys or sells were reported. The Form 4 shows two “A” code transactions, both classified as grant or award acquisitions: one for stock options and one for restricted stock units, reflecting compensation awards rather than discretionary trading activity by the Chief Medical Officer.

What is the Chief Medical Officer’s reported direct shareholding after these grants at SERA?

After the restricted stock unit grant, the Chief Medical Officer is shown holding 92,437 shares of Class A Common Stock directly. This figure reflects her direct ownership following the award transaction and does not include the separate stock option grant for 27,034 underlying shares.

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

The granted stock options have an exercise price of $1.99 per share and an expiration date of March 12, 2036. They provide the Chief Medical Officer the right to buy up to 27,034 shares of Class A Common Stock if vesting and service conditions are satisfied.