Sera Prognostics grants RSUs and options to director
Phillips Joshua reported acquisition or exercise transactions in this Form 4 filing.
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Form Type
4
Rhea-AI Filing Summary
Phillips Joshua reported acquisition or exercise transactions in this Form 4 filing.
Sera Prognostics director Joshua Phillips received equity compensation awards on July 10, 2026. He was granted RSUs covering 2,260 and 22,426 Class A shares that vest on the earlier of July 10, 2027 or the next annual meeting, plus stock options for 3,477 and 34,494 shares at $1.97, vesting monthly over one year and expiring July 10, 2036, all contingent on continued service.
Insider Trade Summary
Grant/Award: 62,657 shares
Grant/Award
4 txns
Insider
Phillips Joshua
Role
Director
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Grant/Award | Stock Option (right to buy) F3 | 34,494 | $0.00 | $0.00 |
| Grant/Award | Stock Option (right to buy) F4 | 3,477 | $0.00 | $0.00 |
| Grant/Award | Class A Common Stock F1 | 22,426 | $0.00 | $0.00 |
| Grant/Award | Class A Common Stock F2 | 2,260 | $0.00 | $0.00 |
Holdings After Transaction:
Stock Option (right to buy) — 37,971 contracts (Direct);
Class A Common Stock — 81,691 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 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.
- 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 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.
- 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: 2,260 shares
RSU grant 2: 22,426 shares
Stock option grant 1: 3,477 shares
+3 more
6 metrics
RSU grant 1
2,260 shares
RSUs representing Class A Common Stock granted July 10, 2026
RSU grant 2
22,426 shares
Additional RSUs granted by the Board vesting by July 10, 2027 or next annual meeting
Stock option grant 1
3,477 shares
Options to buy Class A Common Stock granted July 10, 2026
Option exercise price
$1.9700 per share
Exercise price for options granted to Joshua Phillips
Stock option grant 2
34,494 shares
Additional options to buy Class A Common Stock granted July 10, 2026
Option expiration date
2036-07-10
Expiration for both new stock option grants
Key Terms
restricted stock unit, Non-Employee Director Compensation Policy, 2021 Equity Incentive Plan, stock options, +1 more
5 terms
restricted stock unit financial
"Each share is represented by a restricted stock unit granted pursuant"
A restricted stock unit is a promise from a company to give an employee shares of stock after certain conditions are met, like staying with the company for a set amount of time. It’s like earning a bonus that turns into company stock once you’ve proven your commitment, making it a way to motivate and reward employees.
Non-Employee Director Compensation Policy financial
"granted pursuant to the issuer's Non-Employee Director Compensation Policy"
2021 Equity Incentive Plan financial
"and its 2021 Equity Incentive Plan"
stock options financial
"Consists of stock options granted pursuant to the issuer's policy"
Stock options are agreements that give a person the right to buy or sell a company's stock at a specific price within a certain time frame. They are often used as a reward or incentive, similar to a coupon that can be used later if the stock price rises, allowing the holder to make a profit.
Annual Meeting of Stockholders financial
"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 Prognostics (SERA) director Joshua Phillips receive?
Joshua Phillips received RSUs for 2,260 and 22,426 Class A shares and stock options for 3,477 and 34,494 shares at an exercise price of $1.97. All awards were granted on July 10, 2026 as director compensation.
How do the new SERA RSU grants to Joshua Phillips vest?
Both RSU grants, covering 2,260 and 22,426 shares, vest on the earlier of July 10, 2027 or Sera Prognostics’ next Annual Meeting of Stockholders. Vesting is conditioned on Phillips continuing to provide services to the company through that date.
What are the key terms of the SERA stock options granted to Joshua Phillips?
Phillips received stock options over 3,477 and 34,494 shares of Class A common stock with an exercise price of $1.97 per share. The options expire on July 10, 2036, giving a long-term right to purchase shares if vested.
How do Joshua Phillips’ new SERA stock options vest?
Each option grant vests over one year, with 1/12 of the original amount vesting in monthly installments. The options become fully vested on the earlier of the first anniversary of the grant date or Sera Prognostics’ next Annual Meeting, subject to continued service.
Were Joshua Phillips’ SERA transactions open-market purchases?
No. The Form 4 shows grant or award acquisitions, not open-market buys or sells. Phillips received RSUs and stock options at a stated exercise price of $1.97 per share as part of 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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