Sera Prognostics director awarded stock and options

Sera Prognostics director Gregory C. Critchfield received new equity awards on 2026-07-10.

Rhea-AI Filing Summary

Sera Prognostics director Gregory C. Critchfield received new equity awards on 2026-07-10. He was granted 1594.0000 and 22426.0000 Class A shares in the form of restricted stock units that vest on the earlier of 2027-07-10 or the next Annual Meeting of Stockholders, subject to continued service.

He also received stock options for 2452.0000 and 34494.0000 shares of Class A Common Stock at a 1.9700 per-share exercise price, vesting in 1/12 monthly installments over one year and expiring on 2036-07-10.

Insider Trade Summary

Grant/Award: 60,966 shares

Grant/Award 4 txns

Insider CRITCHFIELD GREGORY C

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	2,452	$0.00	$0.00
Grant/Award	Class A Common Stock F1	22,426	$0.00	$0.00
Grant/Award	Class A Common Stock F2	1,594	$0.00	$0.00

Holdings After Transaction: Stock Option (right to buy) — 36,946 contracts (Direct); Class A Common Stock — 846,886 shares (Direct)

Footnotes (4)

1. 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.
2. 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.
3. 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.
4. 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: 1594.0000 shares RSU grant 2: 22426.0000 shares Stock option grant 1: 2452.0000 shares +3 more

6 metrics

RSU grant 1 1594.0000 shares Restricted stock units of Class A Common Stock granted on 2026-07-10

RSU grant 2 22426.0000 shares Additional RSU grant approved by the Board on 2026-07-10

Stock option grant 1 2452.0000 shares Stock options for Class A Common Stock granted on 2026-07-10

Stock option grant 2 34494.0000 shares Additional stock options for Class A Common Stock granted on 2026-07-10

Option exercise price 1.9700 per share Conversion or exercise price for both new stock option grants

Option expiration 2036-07-10 Expiration date for the newly granted stock options

Key Terms

restricted stock unit ("RSU"), Non-Employee Director Compensation Policy, 2021 Equity Incentive Plan, Annual Meeting of Stockholders, +1 more

5 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..."

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"

stock options financial

"Consists of stock options granted pursuant to the issuer's Non-Employee Director Compensation 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.

FAQ

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

What equity awards did Sera Prognostics (SERA) grant to director Gregory Critchfield?

Gregory C. Critchfield received two RSU grants of 1594.0000 and 22426.0000 Class A shares and two stock option grants for 2452.0000 and 34494.0000 shares. All awards were granted on 2026-07-10 as part of his non-employee director compensation.

When do Gregory Critchfield’s Sera Prognostics (SERA) RSUs vest?

The RSUs vest on the earlier of 2027-07-10 or the next Annual Meeting of Stockholders, subject to Gregory Critchfield continuing to provide services. This applies to both RSU grants made under the Non-Employee Director Compensation Policy and the additional Board-approved RSUs.

What are the key terms of Gregory Critchfield’s Sera Prognostics (SERA) stock options?

The options cover 2452.0000 and 34494.0000 shares of Class A Common Stock at an exercise price of 1.9700 per share. They vest over one year in monthly 1/12 installments and fully vest by the earlier of the first anniversary or the next Annual Meeting, expiring on 2036-07-10.

Are Gregory Critchfield’s Sera Prognostics (SERA) Form 4 transactions market purchases or compensation grants?

All reported transactions are coded “A” for grant, award, or other acquisition, indicating compensation-related equity awards rather than open-market purchases or sales. They reflect RSU and stock option grants under company compensation arrangements, not discretionary trading in SERA shares.

How many Sera Prognostics (SERA) shares are underlying Gregory Critchfield’s new stock options?

The new stock option awards are exercisable for 2452.0000 and 34494.0000 shares of Class A Common Stock. These options vest over one year and, once vested and exercised, could result in issuing that number of SERA shares to Gregory Critchfield.

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

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Accepted by SEC EDGAR 07/14/2026 - 06:41 PM EDT 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^*

CRITCHFIELD GREGORY C

(Last) (First) (Middle)

C/O SERA PROGNOSTICS, INC.

2749 EAST PARLEYS WAY, SUITE 200

(Street)

SALT LAKE CITY UTAH 84109

(City) (State) (Zip)

UNITED STATES

(Country)

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

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

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
07/10/2026

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

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

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

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	07/10/2026		A		22,426(1)	A	$0	845,292	D
Class A Common Stock	07/10/2026		A		1,594(2)	A	$0	846,886	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)	$1.97	07/10/2026		A		34,494		(3)	07/10/2036	Class A Common Stock	34,494	$0	34,494	D
Stock Option (right to buy)	$1.97	07/10/2026		A		2,452		(4)	07/10/2036	Class A Common Stock	2,452	$0	2,452	D

Explanation of Responses:

1. 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.

2. 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.

3. 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.

4. 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.

	/s/ Benjamin G. Jackson, Attorney-in-fact	07/14/2026
	** 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.
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.
* Form 4: SEC 1474 (03-26)