Sera Prognostics grants equity to board director

Sera Prognostics director Sandra AJ Lawrence reported new equity compensation grants.

Rhea-AI Filing Summary

Sera Prognostics director Sandra AJ Lawrence reported new equity compensation grants. On July 10, 2026 she received 2,276 and 22,426 Class A RSU awards plus stock options for 3,501 and 34,494 shares at an exercise price of $1.97, expiring July 10, 2036. The RSUs vest on the earlier of July 10, 2027 or the next Annual Meeting of Stockholders, and the options vest in monthly installments over one year, in each case subject to her continued service; no open-market purchases or sales were reported.

Insider Trade Summary

Grant/Award: 62,697 shares

Grant/Award 4 txns

Insider Lawrence Sandra AJ

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	3,501	$0.00	$0.00
Grant/Award	Class A Common Stock F1	22,426	$0.00	$0.00
Grant/Award	Class A Common Stock F2	2,276	$0.00	$0.00

Holdings After Transaction: Stock Option (right to buy) — 37,995 contracts (Direct); Class A Common Stock — 41,175 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 award 1: 2,276 shares RSU award 2: 22,426 shares Stock option grant 1: 3,501 shares at $1.97 +2 more

5 metrics

RSU award 1 2,276 shares Class A Common Stock RSU grant to Sandra AJ Lawrence on July 10, 2026

RSU award 2 22,426 shares Additional Class A Common Stock RSU grant on July 10, 2026

Stock option grant 1 3,501 shares at $1.97 Stock options expiring July 10, 2036, relating to Class A Common Stock

Stock option grant 2 34,494 shares at $1.97 Additional stock options expiring July 10, 2036

Exercise price $1.97 per share Exercise price for both stock option grants reported on July 10, 2026

Key Terms

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

4 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

"earlier of July 10, 2027 or the date of the issuer's next Annual Meeting of Stockholders"

FAQ

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

What equity awards did SERA director Sandra AJ Lawrence receive on July 10, 2026?

Sandra AJ Lawrence received RSU grants of 2,276 and 22,426 shares plus stock options for 3,501 and 34,494 shares. The options carry a $1.97 exercise price and expire on July 10, 2036 as part of her director compensation.

How do the new RSU awards to SERA director Sandra AJ Lawrence vest?

The new RSUs vest on the earlier of July 10, 2027 or Sera Prognostics’ next Annual Meeting of Stockholders. Vesting is subject to her continuing to provide services to the company throughout the vesting period as a non-employee director.

What are the vesting terms for the SERA stock options granted to Sandra AJ Lawrence?

The stock options vest over one year in 1/12 monthly installments. They become fully vested on the earlier of the first anniversary of the grant date or the next Annual Meeting of Stockholders, provided she continues serving the company during that period.

What is the exercise price and expiration date of Sandra AJ Lawrence’s new SERA options?

Both option grants have an exercise price of $1.97 per share and an expiration date of July 10, 2036. These options each relate to Sera Prognostics Class A Common Stock and form part of her non-employee director equity compensation.

Did Sandra AJ Lawrence buy or sell any SERA shares on the open market in this filing?

No. The filing reports only grant or award acquisitions of RSUs and stock options for Sandra AJ Lawrence. There are no open-market purchases or sales of Sera Prognostics Class A Common Stock disclosed in this Form 4.

Under which plans were Sandra AJ Lawrence’s SERA equity awards granted?

The RSUs and a portion of the stock options were granted under Sera Prognostics’ Non-Employee Director Compensation Policy and its 2021 Equity Incentive Plan. Additional RSUs and options were granted by the Board of Directors, all subject to continued service.

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

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Accepted by SEC EDGAR 07/14/2026 - 06:43 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^*

Lawrence Sandra AJ

(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	38,899	D
Class A Common Stock	07/10/2026		A		2,276(2)	A	$0	41,175	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		3,501		(4)	07/10/2036	Class A Common Stock	3,501	$0	3,501	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).
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* Form 4: SEC 1474 (03-26)