Form 4 for SERA SERA PROGNOSTICS, INC.
Accepted 2025-03-07 00:00:00 ET · period of report 2025-03-05 · accession 0000950170-25-035801 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2025-03-07 | 2025-03-05 | SERA | Harrison Robert Gardner | CIO | A - Grant | $0.00 | +25.8K | 128.9K | +25% | $0 |
| D | 2025-03-07 | 2025-03-06 | SERA | Harrison Robert Gardner | CIO | S - Sale | $4.16 | -3,251 | 125.6K | -3% | -$13.5K |
| D | 2025-03-07 | 2025-03-05 | SERA | Harrison Robert Gardner | CIO | A - Grant | $0.00 | +36.8K | 36.8K | New | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class A Common Stock | 2025-03-05 | A | A | 25,770 | $0.00 | 128,882 | D | — | — | (F1) 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, 2025, subject to the Reporting Person continuing to provide services to the issuer. |
| 2 | Common | Class A Common Stock | 2025-03-06 | S | D | 3,251 | $4.16 | 125,631 | D | — | — | (F2) Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by "sell to cover" transactions and does not represent a discretionary transaction by the Reporting Person. (F3) The price reported is a weighted average price. These shares were sold as part of a block trade in multiple transactions at prices ranging from $4.07 to $4.24, inclusive. The Reporting Person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price with regard to the block trade. |
| 3 | Derivative | Stock Option (right to buy) | 2025-03-05 | A | A | 36,830 | $0.00 | 36,830 | D | $4.20 · — to 2035-03-05 | 36,830 Class A Common Stock | (F4) 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, 2025, subject to the Reporting Person continuing to provide services to the issuer. |