0001104659-21-092282.txt : 20210714 0001104659-21-092282.hdr.sgml : 20210714 20210714213503 ACCESSION NUMBER: 0001104659-21-092282 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210714 FILED AS OF DATE: 20210714 DATE AS OF CHANGE: 20210714 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Altomare Nadia CENTRAL INDEX KEY: 0001871553 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40606 FILM NUMBER: 211091530 MAIL ADDRESS: STREET 1: C/O SERA PROGNOSTICS, INC. STREET 2: 2749 EAST PARLEYS WAY, SUITE 200 CITY: SALT LAKE CITY STATE: UT ZIP: 84109 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SERA PROGNOSTICS, INC. CENTRAL INDEX KEY: 0001534969 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MEDICAL LABORATORIES [8071] 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 3 1 tm2122247-2_3seq1.xml OWNERSHIP DOCUMENT X0206 3 2021-07-14 0 0001534969 SERA PROGNOSTICS, INC. SERA 0001871553 Altomare Nadia C/O SERA PROGNOSTICS, INC. 2749 EAST PARLEYS WAY, SUITE 200 SALT LAKE CITY UT 84109 0 1 0 0 Chief Commercial Officer Class A Common Stock 258540 D Stock Option (right to buy) 1.98 2027-05-18 Class A Common Stock 216450 D Stock Option (right to buy) 1.77 2030-02-27 Class A Common Stock 88985 D Stock Option (right to buy) 5.32 2031-03-08 Class A Common Stock 83720 D 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 and 1/36 of the original grant amount vests in monthly installments for three years following the grant date. 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 grant date. Exhibits 24.1 - Power of Attorney /s/ Nishant Dharia, Attorney-in-fact 2021-07-14 EX-24.1 2 tm2122247d2_ex24-1.htm EXHIBIT 24.1

Exhibit 24.1

POWER OF ATTORNEY

Know all by these present, that the undersigned hereby constitutes and appoints each of Benjamin G. Jackson, Secretary and General Counsel of Sera Prognostics, Inc. (the "Company"), and Megan Gates, Nishant Dharia, Raven Sun, Ginny Lee, Brenda L. Meyette, Anne T. Leland, and Nyisha Shakur of Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C., signing singly, with full power of substitution, the undersigned's true and lawful attorney-in-fact to:

(1)

execute for and on behalf of the undersigned, forms and authentication documents for EDGAR Filing Access;

(2)

do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such forms and authentication documents;

(3)

execute for and on behalf of the undersigned, in the undersigned's capacity as an officer, director and/or 10% shareholder of the Company, Forms 3, 4 and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder;

(4)

do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4 or 5 and timely file such form with the United States Securities and Exchange Commission and any stock exchange or similar authority; and

(5)

take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interests of, or legally required by the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion.

The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 of the Securities Exchange Act of 1934, as amended.

This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4 and 5 with respect to the undersigned's holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact.

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed this 30th day of June, 2021.

	/s/ Nadia Altomare
	Signature

	Nadia Altomare
	Print Name