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Sera Prognostics grants CFO 117,924 RSUs

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Form Type
4

Rhea-AI Filing Summary

SERA PROGNOSTICS, INC. (SERA) reported equity awards to Chief Financial Officer Scott Gleason on August 31, 2026. He received 117,924 RSUs, each representing one share of Class A common stock, and a stock option for 169,624 shares at an exercise price of $2.12 per share, expiring in 2036. Both awards vest over four years, with 25% vesting on September 10, 2027, and the remainder vesting in periodic installments thereafter, contingent on continued service.

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Insider Gleason Scott
Role Chief Financial Officer
Type Security Shares Price Value
Grant/Award Stock Option (right to buy) F2 169,624 $0.00 $0.00
Grant/Award Class A Common Stock F1 117,924 $0.00 $0.00
Holdings After Transaction: Stock Option (right to buy) — 169,624 shares (Direct); Class A Common Stock — 117,924 shares (Direct)
Footnotes (2)
  1. F1. 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 September 10, 2026, 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. F2. 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 September 10, 2026, 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.
RSUs granted 117,924 shares Restricted stock units granted to CFO on August 31, 2026
Options granted 169,624 shares Stock options granted to CFO on August 31, 2026
Option exercise price $2.12 per share Exercise price for 169,624 stock options
Option expiration date August 31, 2036 Expiration date of stock options granted to CFO
Initial vesting cliff 25% Portion of RSUs and options vesting on September 10, 2027
RSU quarterly vesting fraction 1/12 Remaining RSUs vesting quarterly over three years after cliff
Option monthly vesting fraction 1/36 Remaining options vesting monthly over three years after cliff
restricted stock unit ("RSU") financial
"Each share is represented by a restricted stock unit ("RSU")."
vesting commencement date financial
"on the first anniversary of the vesting commencement date, which is September 10, 2026"
The vesting commencement date is the starting point when an employee begins earning ownership rights to their promised benefits, such as stock options or retirement contributions. Think of it like the day a savings account is opened—only after this date do the benefits start to grow and become fully available over time. It matters to investors because it marks when the clock begins ticking toward full ownership, affecting the timing and value of these benefits.
quarterly installments financial
"and 1/12 of the remaining amount vests in quarterly installments for three years thereafter"
monthly installments financial
"and 1/36 of the remaining amount vests in monthly installments for three years thereafter"
Monthly installments are regular, fixed payments made each month to gradually pay off a larger amount, such as a loan or purchase. Think of it like paying for a big item in small, manageable parts instead of all at once. For investors, understanding installment payments helps gauge how debts are structured and how they might affect financial stability or cash flow over time.

FAQ

What equity awards did SERA (SERA) grant to CFO Scott Gleason?

On August 31, 2026, CFO Scott Gleason received 117,924 RSUs and a stock option covering 169,624 shares of Class A common stock with a $2.12 exercise price per share, both subject to multi-year vesting and continued service.

How many RSUs did the CFO of SERA (SERA) receive and how do they vest?

The CFO received 117,924 RSUs. 25% of the original grant vests on September 10, 2027, and 1/12 of the remaining amount vests in quarterly installments over the following three years, subject to continued service.

What are the terms of the stock options granted to the SERA (SERA) CFO?

The CFO was granted options for 169,624 shares of Class A common stock at an exercise price of $2.12 per share, expiring on August 31, 2036. 25% vests on September 10, 2027, and the remaining options vest in 1/36 monthly installments over three years, subject to continued service.

Are the SERA (SERA) CFO’s new equity awards immediately vested?

No. Both the 117,924 RSUs and the option for 169,624 shares vest over four years. 25% vests on September 10, 2027, with the remaining portions vesting in regular installments over three years, conditioned on continued service.

How many shares will the SERA (SERA) CFO own if all new awards vest and options are exercised?

Following the reported grants, the CFO directly holds 117,924 shares of Class A common stock from RSUs and 169,624 stock options. Realization of the full position depends on future vesting and any option exercises.

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

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Learn about SEC filing dates
SEC Form 4
FORM 4UNITED 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*
Gleason Scott

(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)
Director10% Owner
XOfficer (give title below)Other (specify below)
Chief Financial Officer
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
08/31/2026
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
Class A Common Stock08/31/2026A117,924(1)A$0117,924D
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option (right to buy)$2.1208/31/2026A169,624 (2)08/31/2036Class A Common Stock169,624$0169,624D
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 September 10, 2026, 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 September 10, 2026, 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-fact09/01/2026
** Signature of Reporting PersonDate
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)