SERA Director Mark Capone Receives Equity Awards

What Happened Mark Capone, a member of the Board of Directors of Sera Prognostics, Inc. (SERA), was granted a mix of restricted stock units (RSUs) and stock options on July 10, 2026. The filing reports four award items totaling 110,182 underlying shares (42,404 RSUs; 1,975 RSUs; 62,766 options; 3,037 options) with an acquisition price of $0.00 (awarded compensation, not a cash purchase).

Key Details

• Transaction date: July 10, 2026; reported on Form 4 filed July 14, 2026.
• Reported as awards/grants (code A); all reported acquisition prices are $0.00 (total reported value $0).
• Award breakdown:
  • 42,404 RSUs (footnote F1) and 1,975 RSUs (F2).
  • 62,766 stock options (F3) and 3,037 stock options (F4).
• Vesting highlights from filing footnotes:
  • F1 RSUs vest in three annual installments beginning July 10, 2027 (service-based).
  • F2 RSUs vest on the earlier of July 10, 2027 or the next annual meeting (service-based).
  • F3 options vest monthly over three years (1/36 per month).
  • F4 options vest monthly over one year (1/12 per month) but fully vest earlier of first anniversary or next annual meeting.
• Shares owned after the transaction are not specified in the filing.
• Timing: Form 4 filed four days after the grant date; this may be later than the usual two-business-day Section 16 filing deadline.

Context These awards are part of the issuer’s Non-Employee Director Compensation Policy and 2021 Equity Incentive Plan and are standard director compensation rather than open-market purchases or sales. The option grants are derivative awards that vest over time — they are not exercises or immediate stock sales. Such grants compensate continued service and do not, by themselves, indicate buying or selling sentiment.