Sera Prognostics (SERA) CFO sells shares to cover RSU tax obligations

Rhea-AI Filing Summary

Sera Prognostics Chief Financial Officer Austin Aerts reported mandatory share sales tied to tax withholding on vested RSUs. On March 10 and March 11, he sold a total of 7,088 shares of Class A common stock in open-market block trades to cover tax obligations.

The sales occurred at weighted average prices of $1.90 and $2.04 per share, within disclosed ranges from $1.77 to $2.36. After these transactions, Aerts directly held 264,452 shares of Sera Prognostics common stock. The filing states these were not discretionary trades.

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

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

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^*

Aerts Austin

(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)

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

3. Date of Earliest Transaction (Month/Day/Year)
03/10/2026

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

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	03/10/2026		S		6,069(1)	D	$1.9(2)	265,471	D
Class A Common Stock	03/11/2026		S		1,019(1)	D	$2.04(3)	264,452	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. Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by "sell to cover" transactions and does not represent a discretionary transaction by the Reporting Person.

2. The price reported is a weighted average price. These shares were sold as part of a block trade in multiple transactions at prices ranging from $1.77 to $2.36, 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 with regard to the block trade.

3. The price reported is a weighted average price. These shares were sold as part of a block trade in multiple transactions at prices ranging from $1.90 to $2.30, 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 with regard to the block trade.

	/s/ Benjamin G. Jackson, Attorney-in-fact	03/12/2026
	** 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).
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FAQ

What insider transaction did Sera Prognostics (SERA) disclose for its CFO?

Sera Prognostics reported that CFO Austin Aerts sold 7,088 shares of Class A common stock. The disclosure explains these were mandatory “sell to cover” transactions to satisfy tax withholding obligations from vesting RSUs, rather than discretionary market sales.

Why did Sera Prognostics CFO Austin Aerts sell 7,088 SERA shares?

The CFO’s sale of 7,088 shares was to cover tax withholding obligations from vesting restricted stock units. The company elected to satisfy these taxes through “sell to cover” trades, so the filing notes the transactions do not represent discretionary selling by Aerts.

At what prices were the SERA shares sold by the CFO to cover taxes?

The Form 4 lists weighted average prices of $1.90 and $2.04 per share. Footnotes state these were block trades executed in multiple transactions within ranges from $1.77 to $2.36, and detailed trade breakdowns are available on request.

How many Sera Prognostics (SERA) shares does the CFO hold after these transactions?

After the tax-related sales, CFO Austin Aerts directly holds 264,452 shares of Sera Prognostics Class A common stock. This post-transaction holding, disclosed in the Form 4, shows he retains a substantial equity position in the company following the sell-to-cover trades.

Were the recent SERA share sales by the CFO discretionary market trades?

The filing states the sales were not discretionary. They were mandated by Sera Prognostics’ election to fund tax withholding on RSU vesting through “sell to cover” transactions, meaning the CFO did not choose the sales for portfolio or timing reasons.

What types of securities were involved in the Sera Prognostics CFO’s Form 4?

All reported transactions involved Class A common stock of Sera Prognostics. The sales related to restricted stock units (RSUs) that vested, with shares sold in the market solely to satisfy associated tax withholding requirements under the company’s compensation practices.