CRITCHFIELD GREGORY C 4
4 · SERA PROGNOSTICS, INC. · Filed Jul 14, 2026
Research Summary
AI-generated summary of this filing
SERA Director Gregory Critchfield Receives Awards
What Happened
- Gregory C. Critchfield, a director of Sera Prognostics, received equity awards on July 10, 2026: 24,020 restricted stock units (RSUs) (22,426 + 1,594) and stock options covering 36,946 shares (34,494 + 2,452). Each grant was reported as an award/acquisition at $0.00 (no cash paid). These grants were made under the issuer's Non-Employee Director Compensation Policy and the 2021 Equity Incentive Plan.
Key Details
- Transaction date: July 10, 2026; Form 4 filed July 14, 2026 (timely within required reporting window).
- Reported acquisition price/value: $0.00 for all listed awards (typical for grants/awards).
- Post-transaction beneficial ownership: not specified in this filing.
- Footnotes/vesting:
- RSUs (F1, F2): vest on the earlier of July 10, 2027 or the issuer's next Annual Meeting of Stockholders, subject to continued service.
- Stock options (F3, F4): vest monthly over one year (1/12 per month) but become fully vested on the earlier of the first anniversary of the grant or the next Annual Meeting, subject to continued service.
- These grants are standard non-employee director compensation; no 10b5-1 plan, tax withholding, or sale reported.
Context
- These transactions are awards (not open-market purchases or sales) and are commonly used to compensate directors. RSUs convert to shares when they vest; options give the holder the right to purchase shares later (exercise terms/strike price not disclosed here). Awards like these do not by themselves indicate the director bought or sold shares in the market.
Insider Transaction Report
Form 4
CRITCHFIELD GREGORY C
Director
Transactions
- Award
Class A Common Stock
[F1]2026-07-10+22,426→ 845,292 total - Award
Class A Common Stock
[F2]2026-07-10+1,594→ 846,886 total - Award
Stock Option (right to buy)
[F3]2026-07-10+34,494→ 34,494 totalExercise: $1.97Exp: 2036-07-10→ Class A Common Stock (34,494 underlying) - Award
Stock Option (right to buy)
[F4]2026-07-10+2,452→ 2,452 totalExercise: $1.97Exp: 2036-07-10→ Class A Common Stock (2,452 underlying)
Footnotes (4)
- [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.
- [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.
- [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.
- [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.
Signature
/s/ Benjamin G. Jackson, Attorney-in-fact|2026-07-14