CRITCHFIELD GREGORY C

SEC source: 0001191080-26-000002 · ownership.xml · derivative · entry 4

CRITCHFIELD GREGORY C · CIK 0001191080 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,452

Underlying: Class A Common Stock · 2,452 shares

Expires 2036-07-10

F4 · derivative.exercise_date: 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.

SEC source: 0001191080-26-000002 · ownership.xml · derivative · entry 3

CRITCHFIELD GREGORY C · CIK 0001191080 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,494

Underlying: Class A Common Stock · 34,494 shares

Expires 2036-07-10

F3 · derivative.exercise_date: 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.

SEC source: 0001191080-26-000002 · ownership.xml · nonDerivative · entry 2

CRITCHFIELD GREGORY C · CIK 0001191080 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 846,886

F2 · shares: 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.

SEC source: 0001191080-26-000002 · ownership.xml · nonDerivative · entry 1

CRITCHFIELD GREGORY C · CIK 0001191080 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 845,292

F1 · shares: 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.

SEC source: 0000950170-25-083334 · ownership.xml · derivative · entry 2

CRITCHFIELD GREGORY C · CIK 0001191080 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Class A Common Stock · 25,000 shares

Expires 2035-06-05

F2 · derivative.exercise_date: Consists of stock options granted pursuant to Sera Prognostics, Inc.'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 vesting commencement date, which is June 5, 2025.

SEC source: 0000950170-25-083334 · ownership.xml · nonDerivative · entry 1

CRITCHFIELD GREGORY C · CIK 0001191080 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 822,866

F1 · shares: Each share is represented by a restricted stock unit ("RSU"). These RSUs vest over one year as follows: 1/12 of the original grant amount vests in monthly installments for one year following the vesting commencement date, which is June 5, 2025, subject to the Reporting Person continuing to provide services to the issuer.

SEC source: 0001534969-24-000136 · wk-form4_1717792347.xml · derivative · entry 2

CRITCHFIELD GREGORY C · CIK 0001191080 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,549

Underlying: Class A Common Stock · 10,549 shares

Expires 2034-06-06

F2 · derivative.exercise_date: Consists of stock options granted pursuant to Sera Prognostics, Inc.'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 vesting commencement date, which is June 6, 2024, subject to the reporting person continuing to provide services to the issuer.

SEC source: 0001534969-24-000136 · wk-form4_1717792347.xml · nonDerivative · entry 1

CRITCHFIELD GREGORY C · CIK 0001191080 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 807,270

F1 · shares: Each share is represented by a restricted stock unit ("RSU"). These RSUs vest over one year as follows: 1/12 of the original grant amount vests in monthly installments for one year following the vesting commencement date, which is June 6, 2024, subject to the reporting person continuing to provide services to the issuer.

SEC source: 0001534969-24-000120 · wk-form4_1717634121.xml · nonDerivative · entry 2

CRITCHFIELD GREGORY C · CIK 0001191080 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 800,153

F3 · kind: Pro rata distribution from Catalyst Health Ventures (PF) L.P., of which the Reporting Person is a non-managing member.

SEC source: 0001534969-24-000120 · wk-form4_1717634121.xml · nonDerivative · entry 1

CRITCHFIELD GREGORY C · CIK 0001191080 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 800,140

F1 · kind: Pro rata distribution from Catalyst Health Ventures, L.P., of which the Reporting Person is a non-managing member.

F2 · balance_after: The Reporting Person purchased 5,000 shares of Class A Common Stock pursuant to the Sera Prognostics, Inc. 2021 Employee Stock Purchase Plan ("ESPP"), for the purchase period of December 1, 2022 to May 31, 2023.

SEC source: 0001534969-23-000012 · wf-form4_167823653736339.xml · derivative · entry 2

CRITCHFIELD GREGORY C · CIK 0001191080 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,300

Underlying: Class A Common Stock · 98,300 shares

Expires 2033-03-07

F2 · derivative.exercise_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 vesting commencement date, which is March 7, 2023, subject to the reporting person continuing to provide services to the issuer.

SEC source: 0001534969-23-000012 · wf-form4_167823653736339.xml · nonDerivative · entry 1

CRITCHFIELD GREGORY C · CIK 0001191080 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 857,145

F1 · shares: Each share is represented by a restricted stock unit ("RSU"). These RSUs vest over four years as follows: 1/4 of the original grant amount vests in annual installments for four years following the vesting commencement date, which is March 7, 2023, subject to the reporting person continuing to provide services to the issuer.

SEC source: 0001534969-22-000023 · wf-form4_164824052547856.xml · derivative · entry 1

CRITCHFIELD GREGORY C · CIK 0001191080 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 429,225

Underlying: Class A Common Stock · 429,225 shares

Expires 2032-03-23

F1 · derivative.exercise_date: These stock options vest over four years beginning on the grant date of March 23, 2022 as follows: 15% of the original grant amount vests in equal monthly installments over the first year following the grant date, 20% of the original grant amount vests in equal monthly installments over the second year following the grant date, 25% of the original grant amount vests in equal monthly installments over the third year following the grant date, and 40% of the original grant amount vests in equal monthly installments over the fourth year following the grant date, subject to the reporting person continuing to provide services to the issuer.

SEC source: 0001104659-21-094519 · tm2122781-3_4seq1.xml · derivative · entry 10

CRITCHFIELD GREGORY C · CIK 0001191080 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 28,730 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · derivative.exercise_price: The Issuer's Series D Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $9.02 per share. The Series D Preferred Stock has no expiration date.

F7 · derivative.exercise_date: The shares of preferred stock automatically converted into the Issuer's Class A Common Stock in accordance with the Issuer's Restated Certificate of Incorporation, as amended, immediately upon completion of the Issuer's initial public offering, which became effective on July 19, 2021.

F6 · derivative.expiration_date: The Issuer's Series D Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $9.02 per share. The Series D Preferred Stock has no expiration date.

SEC source: 0001104659-21-094519 · tm2122781-3_4seq1.xml · derivative · entry 9

CRITCHFIELD GREGORY C · CIK 0001191080 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 4,727 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: The Issuer's Series C-1 Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $12.37 per share. The Series C-1 Preferred Stock has no expiration date.

F7 · derivative.exercise_date: The shares of preferred stock automatically converted into the Issuer's Class A Common Stock in accordance with the Issuer's Restated Certificate of Incorporation, as amended, immediately upon completion of the Issuer's initial public offering, which became effective on July 19, 2021.

F5 · derivative.expiration_date: The Issuer's Series C-1 Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $12.37 per share. The Series C-1 Preferred Stock has no expiration date.

SEC source: 0001104659-21-094519 · tm2122781-3_4seq1.xml · derivative · entry 8

CRITCHFIELD GREGORY C · CIK 0001191080 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 11,880 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: The Issuer's Series B-2 Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $8.32 per share. The Series B-2 Preferred Stock has no expiration date.

F7 · derivative.exercise_date: The shares of preferred stock automatically converted into the Issuer's Class A Common Stock in accordance with the Issuer's Restated Certificate of Incorporation, as amended, immediately upon completion of the Issuer's initial public offering, which became effective on July 19, 2021.

F4 · derivative.expiration_date: The Issuer's Series B-2 Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $8.32 per share. The Series B-2 Preferred Stock has no expiration date.

SEC source: 0001104659-21-094519 · tm2122781-3_4seq1.xml · derivative · entry 7

CRITCHFIELD GREGORY C · CIK 0001191080 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 5,253 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: The Issuer's Series B-1 Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $5.20 per share. The Series B-1 Preferred Stock has no expiration date.

F7 · derivative.exercise_date: The shares of preferred stock automatically converted into the Issuer's Class A Common Stock in accordance with the Issuer's Restated Certificate of Incorporation, as amended, immediately upon completion of the Issuer's initial public offering, which became effective on July 19, 2021.

F3 · derivative.expiration_date: The Issuer's Series B-1 Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $5.20 per share. The Series B-1 Preferred Stock has no expiration date.

SEC source: 0001104659-21-094519 · tm2122781-3_4seq1.xml · derivative · entry 6

CRITCHFIELD GREGORY C · CIK 0001191080 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 34,383 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The Issuer's Series A-2 Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $5.20 per share. The Series A-2 Preferred Stock has no expiration date.

F7 · derivative.exercise_date: The shares of preferred stock automatically converted into the Issuer's Class A Common Stock in accordance with the Issuer's Restated Certificate of Incorporation, as amended, immediately upon completion of the Issuer's initial public offering, which became effective on July 19, 2021.

F1 · derivative.expiration_date: The Issuer's Series A-2 Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $5.20 per share. The Series A-2 Preferred Stock has no expiration date.

SEC source: 0001104659-21-094519 · tm2122781-3_4seq1.xml · nonDerivative · entry 5

CRITCHFIELD GREGORY C · CIK 0001191080 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 794,945

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · price: The Issuer's Series D Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $9.02 per share. The Series D Preferred Stock has no expiration date.

SEC source: 0001104659-21-094519 · tm2122781-3_4seq1.xml · nonDerivative · entry 4

CRITCHFIELD GREGORY C · CIK 0001191080 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 766,215

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · price: The Issuer's Series C-1 Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $12.37 per share. The Series C-1 Preferred Stock has no expiration date.

SEC source: 0001104659-21-094519 · tm2122781-3_4seq1.xml · nonDerivative · entry 3

CRITCHFIELD GREGORY C · CIK 0001191080 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 761,488

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · price: The Issuer's Series B-2 Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $8.32 per share. The Series B-2 Preferred Stock has no expiration date.

SEC source: 0001104659-21-094519 · tm2122781-3_4seq1.xml · nonDerivative · entry 2

CRITCHFIELD GREGORY C · CIK 0001191080 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 749,608

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · price: The Issuer's Series B-1 Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $5.20 per share. The Series B-1 Preferred Stock has no expiration date.

SEC source: 0001104659-21-094519 · tm2122781-3_4seq1.xml · nonDerivative · entry 1

CRITCHFIELD GREGORY C · CIK 0001191080 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 744,355

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: The Issuer's Series A-2 Preferred Stock is convertible at the option of a holder at any time into shares of the Issuer's Class A Common Stock at a conversion price, as adjusted to reflect the Issuer's recent 1-for-0.481 reverse stock split, of $5.20 per share. The Series A-2 Preferred Stock has no expiration date.

F2 · balance_after: Includes 630,832 shares of Class A Common Stock directly held by The Gregory C. Critchfield & Trust. Dr. Critchfield is a Trustee of the Gregory C. Critchfield & Trust. Dr. Critchfield, in such capacity, may be deemed to indriectly beneficially own the securities owned by the trust except to the extent of his pecuniary interest therein, if any.