0001534969-23-000115.txt : 20231108 0001534969-23-000115.hdr.sgml : 20231108 20231108161652 ACCESSION NUMBER: 0001534969-23-000115 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231106 FILED AS OF DATE: 20231108 DATE AS OF CHANGE: 20231108 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lindgardt Zhenya CENTRAL INDEX KEY: 0001891299 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40606 FILM NUMBER: 231388133 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 4 1 wk-form4_1699478200.xml FORM 4 X0508 4 2023-11-06 0 0001534969 SERA PROGNOSTICS, INC. SERA 0001891299 Lindgardt Zhenya C/O SERA PROGNOSTICS, INC. 2749 EAST PARLEYS WAY, SUITE 200 SALT LAKE CITY UT 84109 1 1 0 0 Chief Executive Officer 0 Class A Common Stock 2023-11-06 4 A 0 800000 0 A 800000 D Class A Common Stock 2023-11-06 4 A 0 175000 0 A 975000 D 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 grant date, subject to the reporting person continuing to provide services to the issuer. 2. Each share is represented by a restricted stock unit ("RSU"). These RSUs vest over two years as follows: 1/8 of the original grant amount vests in quarterly installments for two years following the grant date, subject to the reporting person continuing to provide services to the issuer. /s/ Benjamin G. Jackson, Attorney-in-fact 2023-11-08