SERA CMO awarded 75,000 RSUs, 107,000 stock options at $3.13

Rhea-AI Filing Summary

Sera Prognostics (SERA) filed a Form 4 reporting equity awards to its Chief Medical Officer. On 10/15/2025, the officer acquired 75,000 shares of Class A Common Stock represented by RSUs at a price of $0, bringing beneficial ownership of these shares to 75,000, held directly.

The filing also reports a stock option grant for 107,000 shares at an exercise price of $3.13, expiring on 10/15/2035, with 107,000 derivative securities beneficially owned directly. The RSUs vest over four years: 25% on the first anniversary of the vesting commencement date, which is October 10, 2025, then 1/12 of the remainder in quarterly installments for three years thereafter. The options vest over four years: 25% on the first anniversary of the vesting commencement date, which is October 10, 2025, then 1/36 of the remainder in monthly installments for three years thereafter.

Insider Trade Summary

2 transactions reported

Mixed 2 txns

Insider Inglis Tiffany Eul Davis

Role Chief Medical Officer

Type	Security	Shares	Price	Value
Grant/Award	Stock Option (right to buy)	107,000	$0.00	--
Grant/Award	Class A Common Stock	75,000	$0.00	--

Holdings After Transaction: Stock Option (right to buy) — 107,000 shares (Direct); Class A Common Stock — 75,000 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 October 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 October 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.

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^*

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)
10/15/2025

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	10/15/2025		A		75,000(1)	A	$0	75,000	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)	$3.13	10/15/2025		A		107,000		(2)	10/15/2035	Class A Common Stock	107,000	$0	107,000	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 October 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 October 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	10/15/2025
	** 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.

FAQ

What did SERA report on Form 4 for its CMO?

The CMO acquired 75,000 RSUs at $0 and a stock option for 107,000 shares at an exercise price of $3.13, both reported on 10/15/2025.

How do the 75,000 RSUs for SERA's CMO vest?

They vest over four years: 25% on the first anniversary of the vesting commencement date (October 10, 2025), then 1/12 quarterly for three years.

What are the key terms of the 107,000 stock options?

Exercise price $3.13, expiration 10/15/2035, vesting 25% on the first anniversary of October 10, 2025, then 1/36 monthly for three years.

What is the officer’s role at SERA?

The reporting person is an Officer, serving as Chief Medical Officer.

How is ownership recorded for these awards?

Both the 75,000 RSUs and the 107,000 options are reported as direct beneficial ownership.

What is the transaction code for these acquisitions?

The filing lists transaction code A, indicating an acquisition.