0001534969-24-000134.txt : 20240607 0001534969-24-000134.hdr.sgml : 20240607 20240607163214 ACCESSION NUMBER: 0001534969-24-000134 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240606 FILED AS OF DATE: 20240607 DATE AS OF CHANGE: 20240607 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lawrence Sandra AJ CENTRAL INDEX KEY: 0001306386 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40606 FILM NUMBER: 241030093 MAIL ADDRESS: STREET 1: C/O EVERGY, INC. STREET 2: 1200 MAIN STREET CITY: KANSAS CITY STATE: MO ZIP: 64105 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SERA PROGNOSTICS, INC. CENTRAL INDEX KEY: 0001534969 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MEDICAL LABORATORIES [8071] ORGANIZATION NAME: 08 Industrial Applications and Services IRS NUMBER: 261911522 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2749 E. PARLEYS WAY STREET 2: SUITE 200 CITY: SALT LAKE CITY STATE: UT ZIP: 84109 BUSINESS PHONE: (801) 990-0520 MAIL ADDRESS: STREET 1: 2749 E. PARLEYS WAY STREET 2: SUITE 200 CITY: SALT LAKE CITY STATE: UT ZIP: 84109 4 1 wk-form4_1717792323.xml FORM 4 X0508 4 2024-06-06 0 0001534969 SERA PROGNOSTICS, INC. SERA 0001306386 Lawrence Sandra AJ C/O SERA PROGNOSTICS, INC. 2749 EAST PARLEYS WAY, SUITE 200 SALT LAKE CITY UT 84109 1 0 0 0 0 Class A Common Stock 2024-06-06 4 A 0 7117 0 A 7117 D Stock Option (right to buy) 8.43 2024-06-06 4 A 0 10549 0 A 2034-06-06 Class A Common Stock 10549 10549 D Each share is represented by a restricted stock unit ("RSU"). These RSUs vest over one year as follows: 1/12 of the original grant amount vests in monthly installments for one year following the vesting commencement date, which is June 6, 2024, subject to the reporting person continuing to provide services to the issuer. Consists of stock options granted pursuant to Sera Prognostics, Inc.'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 vesting commencement date, which is June 6, 2024, subject to the reporting person continuing to provide services to the issuer. /s/ Benjamin G. Jackson, Attorney-in-fact 2024-06-07