Anderson Dyaarl Lee Jr. 4

What Happened

• Dyaarl Lee, Chief Commercial Officer of SERA Prognostics, was granted two awards reported on Form 4 dated 2026-03-12: 12,455 restricted stock units (RSUs) and 19,310 derivative awards (reported as a derivative grant). Both grants were recorded at $0 per share (no cash paid) and are equity compensation rather than open-market purchases or sales.

Key Details

• Transaction date: 2026-03-12 (Form 4 filed 2026-03-13).
• Grant details and prices: 12,455 RSUs @ $0.00; 19,310 derivative award units @ $0.00. Total cash exchanged: $0.
• Vesting: See footnotes—RSUs vest over four years (1/16 of original grant vests quarterly) with a vesting commencement date of March 10, 2026 (F1). The derivative awards/options vest over four years (1/48 vests monthly) with the same commencement date (F2).
• Transaction code: A (award/grant). No immediate exercise or sale reported.
• Shares owned after the transaction: not specified in the summary provided on the filing.
• Timeliness: Filing appears timely (transaction 3/12, filed 3/13); no late-file indication in the provided data.

Context

• These are compensation awards, not purchases or sales; no cash changed hands at grant. The derivative grant represents an equity-linked award subject to future vesting, not an immediate option exercise or cashless sale.
• Vesting is conditioned on continued service; such grants are commonly used to retain and incentivize executives and do not by themselves indicate insider sentiment about the stock price.