Sera Prognostics (SERA) grants CFO RSUs and stock options

Rhea-AI Filing Summary

Sera Prognostics, Inc. reported that Chief Financial Officer Austin Aerts received new equity awards consisting of restricted stock units and stock options. The grant includes 44,215 shares of Class A common stock in the form of RSUs and 68,550 stock options 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, contingent on continued service. The stock options vest over four years in 1/48 monthly installments starting on March 10, 2026 and expire on March 12, 2036. Following the RSU grant, Aerts directly holds 308,667 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

OMB APPROVAL

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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^*

Aerts Austin

(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 Financial 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		44,215(1)	A	$0	308,667	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		68,550		(2)	03/12/2036	Class A Common Stock	68,550	$0	68,550	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’s CFO receive in this Form 4 filing?

SERA’s Chief Financial Officer, Austin Aerts, received equity awards of 44,215 RSU shares of Class A common stock and 68,550 stock options. These awards are part of his compensation package and are subject to multi-year vesting schedules tied to continued service.

How do Austin Aerts’ new RSUs at SERA vest over time?

The 44,215 RSU shares vest over four years. Beginning March 10, 2026, 1/16 of the original grant vests in quarterly installments, provided Aerts continues to provide services to Sera Prognostics throughout the vesting period.

What are the key terms of the SERA CFO’s new stock options?

Austin Aerts received 68,550 stock options with an exercise price of $1.99 per share. These options vest over four years in 1/48 monthly installments starting March 10, 2026 and have an expiration date of March 12, 2036.

How many SERA common shares does the CFO hold after these grants?

Following the grant of 44,215 RSU shares, Chief Financial Officer Austin Aerts directly holds 308,667 shares of Sera Prognostics Class A common stock. This figure reflects his updated direct ownership position as reported in the Form 4 filing.

Are the SERA CFO’s new equity awards dependent on continued employment?

Yes. Both the RSUs and stock options vest only if Aerts continues to provide services to Sera Prognostics. Vesting for RSUs is quarterly and for options is monthly, starting from the vesting commencement date of March 10, 2026.