Sera Prognostics (NASDAQ: SERA) grants CEO RSUs and stock options

Rhea-AI Filing Summary

SERA PROGNOSTICS, INC. reported that Chief Executive Officer Zhenya Lindgardt received new equity awards. She was granted 154,440 shares of Class A Common Stock in the form of restricted stock units at a price of $0.00 per share and a stock option covering 239,442 shares with an exercise price of $1.99 per share.

The RSUs vest over four years, with 1/16 of the original amount vesting in quarterly installments starting on March 10, 2026, as long as she continues to provide services. The stock options vest over four years in 1/48 monthly installments beginning on March 10, 2026. After these grants, she directly holds 892,754 shares of Class A Common Stock.

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

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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^*

Lindgardt Zhenya

(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)

X	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Executive 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		154,440(1)	A	$0	892,754	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		239,442		(2)	03/12/2036	Class A Common Stock	239,442	$0	239,442	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 did SERA CEO Zhenya Lindgardt receive in this Form 4 filing?

Zhenya Lindgardt received new equity awards consisting of 154,440 restricted stock units and a stock option for 239,442 shares. Both awards were granted at a price of $0.00 per share for the RSUs and a $1.99 exercise price for the option, subject to multi-year vesting.

How many SERA restricted stock units were granted to the CEO?

The CEO was granted 154,440 shares of Class A Common Stock in the form of restricted stock units. These RSUs vest over four years, with 1/16 of the original grant vesting in quarterly installments starting March 10, 2026, contingent on continued service.

What stock options were granted to SERA CEO Zhenya Lindgardt?

She received a stock option on 239,442 shares of Class A Common Stock with a $1.99 per-share exercise price. The option vests over four years, in 1/48 monthly installments beginning March 10, 2026, provided she continues to provide services to the company.

When do the SERA restricted stock units for the CEO start vesting?

The restricted stock units begin vesting on March 10, 2026. From that vesting commencement date, 1/16 of the original 154,440-unit grant vests in quarterly installments over four years, assuming the CEO continues to provide services to SERA Prognostics, Inc.

How do the SERA CEO’s stock options vest over time?

The CEO’s 239,442 stock options vest monthly over four years. Starting March 10, 2026, 1/48 of the original grant vests each month, as long as she continues to provide services to SERA Prognostics, Inc. through each vesting date.

How many SERA shares does the CEO hold after these grants?

After these grants, the CEO directly holds 892,754 shares of Class A Common Stock. In addition, she holds a stock option covering 239,442 shares, which can be exercised at $1.99 per share once vested over the four-year schedule.