[Form 4/A] Sera Prognostics, Inc. Amended Insider Trading Activity

Rhea-AI Filing Summary

Sera Prognostics director Sandra Lawrence reported an amended Form 4 showing the sale of 1,560 shares of Class A common stock at a weighted average price of $3.05, leaving her with 21,153 shares beneficially owned. The sales were executed under a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2025, and the Form 4 amendment corrects an administrative error in the originally reported share count. The filer states the reported price is a weighted average for multiple transactions ranging from $2.99 to $3.12 and offers to provide a breakdown on request.

Positive

• Transaction executed under a Rule 10b5-1 trading plan, indicating preplanned trades rather than opportunistic insider selling
• Amended Form 4 corrects an administrative error, improving disclosure accuracy and compliance
• Weighted average price and price range disclosed, allowing parties to request detailed breakdowns of sale prices

Negative

• Director sold 1,560 shares, reducing beneficial ownership to 21,153 shares
• Original filing contained an administrative error requiring an amendment

Insights

Securities Analyst

TL;DR: Routine 10b5-1 sale by a director; amendment fixes reporting error, limited investor impact.

The transaction reflects a small-scale, planned disposition executed under a documented 10b5-1 plan, which generally indicates pre-scheduled trading rather than opportunistic insider selling. The amendment correcting the originally reported share count improves transparency and regulatory compliance. The disclosure of the weighted average sale price and range allows reconstruction of trade prices if requested, supporting clarity for investors and regulators.

Corporate Governance Expert

TL;DR: Governance controls appear functional: use of a 10b5-1 plan and corrective amendment demonstrate adherence to disclosure norms.

The filing shows use of an affirmative-defense trading plan and an explicit correction to a prior filing, which are positive governance signals. The amendment indicates oversight and willingness to correct administrative mistakes. There is no indication of undisclosed related-party arrangements or changes in control from the document.

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

X

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Lawrence Sandra AJ

(Last) (First) (Middle)

C/O SERA PROGNOSTICS, INC.

2749 EAST PARLEYS WAY, SUITE 200

(Street)

SALT LAKE CITY UT 84109

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
SERA PROGNOSTICS, INC. [ SERA ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
09/09/2025

4. If Amendment, Date of Original Filed (Month/Day/Year)
09/09/2025

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Class A Common Stock	09/09/2025		S(1)		1,560	D	$3.05(2)	21,153	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. The transaction(s) reported on this Form 4 was/were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 10, 2025.

2. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.99 to $3.12, inclusive. The Reporting Person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Remarks:

This Form 4 amendment is being filed to correct the original Form 4 filed on September 9, 2025, which included the incorrect number of shares sold by the Reporting Person in Table I due to an administrative error.

	/s/ Benjamin G. Jackson, Attorney-in-fact	09/11/2025
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

FAQ

What did SERA director Sandra Lawrence disclose in the Form 4/A?

She sold 1,560 shares of Class A common stock at a weighted average price of $3.05, leaving 21,153 shares beneficially owned.

Were the sales part of a trading plan for SERA insiders?

Yes. The sales were effected pursuant to a Rule 10b5-1 trading plan adopted on June 10, 2025.

Why was the Form 4 amended for SERA (Sandra Lawrence)?

To correct an administrative error in the originally reported number of shares sold in Table I.

What prices were the SERA shares sold at?

The weighted average price was $3.05, with individual transactions in the range of $2.99 to $3.12.

Can investors get a breakdown of each sale price for the SERA shares?

Yes. The reporting person offers to provide the number of shares sold at each separate price upon request to the SEC staff, the issuer, or any security holder.