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

Filing Impact
(Low)
Filing Sentiment
(Neutral)
Form Type
4
Rhea-AI Filing Summary

Sera Prognostics, Inc. (SERA) – Form 4 insider filing

On 7 July 2025, director Mansoor Raza Mirza reported the sale of 234 Class A common shares at $2.36 per share. The shares were automatically sold to cover federal and state tax-withholding obligations triggered by the vesting of previously granted restricted stock units ("RSUs"). The company’s tax-settlement policy requires a mandatory "sell-to-cover" transaction; therefore, the sale was not a discretionary disposition.

Following the transaction, Mirza’s direct beneficial ownership stands at 58,927 shares. No derivative securities transactions were reported, and there is no indication of additional open-market sales or purchases.

The size of the sale is immaterial relative to the insider’s remaining holdings, and because it was executed solely for tax purposes, the filing is neutral from a valuation or sentiment perspective.

Sera Prognostics, Inc. (SERA) – Comunicazione interna Form 4

Il 7 luglio 2025, il direttore Mansoor Raza Mirza ha segnalato la vendita di 234 azioni ordinarie di Classe A a 2,36 $ ciascuna. Le azioni sono state vendute automaticamente per coprire le imposte federali e statali dovute in seguito al maturare delle unità azionarie vincolate precedentemente assegnate ("RSU"). La politica fiscale della società prevede una transazione obbligatoria di "vendita per copertura"; pertanto, la vendita non è stata una disposizione discrezionale.

Dopo l'operazione, la proprietà diretta di Mirza ammonta a 58.927 azioni. Non sono state segnalate transazioni su strumenti derivati e non vi sono indicazioni di ulteriori vendite o acquisti sul mercato aperto.

La dimensione della vendita è irrilevante rispetto alle rimanenti partecipazioni dell'insider e, poiché è stata effettuata esclusivamente per motivi fiscali, la comunicazione è neutrale dal punto di vista della valutazione o del sentiment.

Sera Prognostics, Inc. (SERA) – Presentación interna Formulario 4

El 7 de julio de 2025, el director Mansoor Raza Mirza reportó la venta de 234 acciones ordinarias Clase A a $2.36 por acción. Las acciones se vendieron automáticamente para cubrir las obligaciones fiscales federales y estatales derivadas de la consolidación de unidades restringidas de acciones previamente otorgadas ("RSU"). La política fiscal de la empresa requiere una transacción obligatoria de "venta para cubrir"; por lo tanto, la venta no fue una disposición discrecional.

Tras la transacción, la propiedad directa de Mirza es de 58,927 acciones. No se reportaron operaciones con valores derivados y no hay indicios de ventas o compras adicionales en el mercado abierto.

El tamaño de la venta es insignificante en relación con las participaciones restantes del insider y, dado que se realizó únicamente por motivos fiscales, la presentación es neutral desde la perspectiva de valoración o sentimiento.

Sera Prognostics, Inc. (SERA) – 내부자 신고서 Form 4

2025년 7월 7일, 이사 Mansoor Raza Mirza는 주당 2.36달러에 234주 클래스 A 보통주를 매도했다고 보고했습니다. 해당 주식은 이전에 부여된 제한 주식 단위("RSU")의 권리 확정으로 인해 발생한 연방 및 주 세금 원천징수 의무를 충당하기 위해 자동으로 매도되었습니다. 회사의 세금 정산 정책은 의무적인 "매도-커버" 거래를 요구하므로, 이번 매도는 임의 처분이 아니었습니다.

거래 후 Mirza의 직접 소유 지분은 58,927주입니다. 파생 증권 거래는 보고되지 않았으며 추가적인 공개 시장 매도나 매수도 없습니다.

매도 규모는 내부자의 남은 보유 지분에 비해 미미하며, 세금 목적을 위해서만 실행되었기에 이번 신고는 가치 평가나 투자 심리 측면에서 중립적입니다.

Sera Prognostics, Inc. (SERA) – Déclaration d’initié Formulaire 4

Le 7 juillet 2025, le directeur Mansoor Raza Mirza a déclaré la vente de 234 actions ordinaires de Classe A à 2,36 $ chacune. Les actions ont été vendues automatiquement pour couvrir les obligations fiscales fédérales et étatiques générées par l’acquisition définitive d’unités d’actions restreintes (« RSU ») précédemment attribuées. La politique fiscale de la société impose une transaction obligatoire de « vente pour couvrir » ; par conséquent, la vente n’était pas une disposition discrétionnaire.

Après la transaction, la détention directe de Mirza s’élève à 58 927 actions. Aucune transaction sur titres dérivés n’a été signalée, et il n’y a aucune indication de ventes ou d’achats supplémentaires sur le marché ouvert.

La taille de la vente est négligeable par rapport aux participations restantes de l’initié, et puisqu’elle a été effectuée uniquement pour des raisons fiscales, la déclaration est neutre du point de vue de la valorisation ou du sentiment.

Sera Prognostics, Inc. (SERA) – Insider-Meldung Form 4

Am 7. Juli 2025 meldete Direktor Mansoor Raza Mirza den Verkauf von 234 Class-A-Stammaktien zu je 2,36 $. Die Aktien wurden automatisch verkauft, um die bundesstaatlichen und staatlichen Steuerabzugsverpflichtungen zu erfüllen, die durch das Vesting zuvor gewährter Restricted Stock Units ("RSUs") ausgelöst wurden. Die Steuerabwicklungsrichtlinie des Unternehmens verlangt eine verpflichtende "Sell-to-Cover"-Transaktion; daher war der Verkauf keine freiwillige Veräußerung.

Nach der Transaktion hält Mirza direkt 58.927 Aktien. Es wurden keine Derivatgeschäfte gemeldet, und es gibt keine Hinweise auf weitere Verkäufe oder Käufe am offenen Markt.

Die Verkaufsgröße ist im Verhältnis zu den verbleibenden Beständen des Insiders unerheblich, und da sie ausschließlich aus steuerlichen Gründen durchgeführt wurde, ist die Meldung neutral in Bezug auf Bewertung oder Stimmung.

Positive
  • None.
Negative
  • None.

Insights

TL;DR: Small, mandatory tax sale by SERA director; neutral signal, negligible impact on float or insider sentiment.

The 234-share sale (≈0.4% of Mirza’s post-transaction holdings) is minimal and driven by the company’s compulsory sell-to-cover rule on RSU vesting. Such transactions neither alter the insider’s economic exposure in a meaningful way nor provide actionable insight into management’s view of SERA’s prospects. With no additional trades or option exercises disclosed, the filing is primarily an administrative compliance event. Impact: neutral.

Sera Prognostics, Inc. (SERA) – Comunicazione interna Form 4

Il 7 luglio 2025, il direttore Mansoor Raza Mirza ha segnalato la vendita di 234 azioni ordinarie di Classe A a 2,36 $ ciascuna. Le azioni sono state vendute automaticamente per coprire le imposte federali e statali dovute in seguito al maturare delle unità azionarie vincolate precedentemente assegnate ("RSU"). La politica fiscale della società prevede una transazione obbligatoria di "vendita per copertura"; pertanto, la vendita non è stata una disposizione discrezionale.

Dopo l'operazione, la proprietà diretta di Mirza ammonta a 58.927 azioni. Non sono state segnalate transazioni su strumenti derivati e non vi sono indicazioni di ulteriori vendite o acquisti sul mercato aperto.

La dimensione della vendita è irrilevante rispetto alle rimanenti partecipazioni dell'insider e, poiché è stata effettuata esclusivamente per motivi fiscali, la comunicazione è neutrale dal punto di vista della valutazione o del sentiment.

Sera Prognostics, Inc. (SERA) – Presentación interna Formulario 4

El 7 de julio de 2025, el director Mansoor Raza Mirza reportó la venta de 234 acciones ordinarias Clase A a $2.36 por acción. Las acciones se vendieron automáticamente para cubrir las obligaciones fiscales federales y estatales derivadas de la consolidación de unidades restringidas de acciones previamente otorgadas ("RSU"). La política fiscal de la empresa requiere una transacción obligatoria de "venta para cubrir"; por lo tanto, la venta no fue una disposición discrecional.

Tras la transacción, la propiedad directa de Mirza es de 58,927 acciones. No se reportaron operaciones con valores derivados y no hay indicios de ventas o compras adicionales en el mercado abierto.

El tamaño de la venta es insignificante en relación con las participaciones restantes del insider y, dado que se realizó únicamente por motivos fiscales, la presentación es neutral desde la perspectiva de valoración o sentimiento.

Sera Prognostics, Inc. (SERA) – 내부자 신고서 Form 4

2025년 7월 7일, 이사 Mansoor Raza Mirza는 주당 2.36달러에 234주 클래스 A 보통주를 매도했다고 보고했습니다. 해당 주식은 이전에 부여된 제한 주식 단위("RSU")의 권리 확정으로 인해 발생한 연방 및 주 세금 원천징수 의무를 충당하기 위해 자동으로 매도되었습니다. 회사의 세금 정산 정책은 의무적인 "매도-커버" 거래를 요구하므로, 이번 매도는 임의 처분이 아니었습니다.

거래 후 Mirza의 직접 소유 지분은 58,927주입니다. 파생 증권 거래는 보고되지 않았으며 추가적인 공개 시장 매도나 매수도 없습니다.

매도 규모는 내부자의 남은 보유 지분에 비해 미미하며, 세금 목적을 위해서만 실행되었기에 이번 신고는 가치 평가나 투자 심리 측면에서 중립적입니다.

Sera Prognostics, Inc. (SERA) – Déclaration d’initié Formulaire 4

Le 7 juillet 2025, le directeur Mansoor Raza Mirza a déclaré la vente de 234 actions ordinaires de Classe A à 2,36 $ chacune. Les actions ont été vendues automatiquement pour couvrir les obligations fiscales fédérales et étatiques générées par l’acquisition définitive d’unités d’actions restreintes (« RSU ») précédemment attribuées. La politique fiscale de la société impose une transaction obligatoire de « vente pour couvrir » ; par conséquent, la vente n’était pas une disposition discrétionnaire.

Après la transaction, la détention directe de Mirza s’élève à 58 927 actions. Aucune transaction sur titres dérivés n’a été signalée, et il n’y a aucune indication de ventes ou d’achats supplémentaires sur le marché ouvert.

La taille de la vente est négligeable par rapport aux participations restantes de l’initié, et puisqu’elle a été effectuée uniquement pour des raisons fiscales, la déclaration est neutre du point de vue de la valorisation ou du sentiment.

Sera Prognostics, Inc. (SERA) – Insider-Meldung Form 4

Am 7. Juli 2025 meldete Direktor Mansoor Raza Mirza den Verkauf von 234 Class-A-Stammaktien zu je 2,36 $. Die Aktien wurden automatisch verkauft, um die bundesstaatlichen und staatlichen Steuerabzugsverpflichtungen zu erfüllen, die durch das Vesting zuvor gewährter Restricted Stock Units ("RSUs") ausgelöst wurden. Die Steuerabwicklungsrichtlinie des Unternehmens verlangt eine verpflichtende "Sell-to-Cover"-Transaktion; daher war der Verkauf keine freiwillige Veräußerung.

Nach der Transaktion hält Mirza direkt 58.927 Aktien. Es wurden keine Derivatgeschäfte gemeldet, und es gibt keine Hinweise auf weitere Verkäufe oder Käufe am offenen Markt.

Die Verkaufsgröße ist im Verhältnis zu den verbleibenden Beständen des Insiders unerheblich, und da sie ausschließlich aus steuerlichen Gründen durchgeführt wurde, ist die Meldung neutral in Bezug auf Bewertung oder Stimmung.

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).
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*
Mirza Mansoor Raza

(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)
07/07/2025
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 07/07/2025 S 234(1) D $2.36 58,927 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.
/s/ Benjamin G. Jackson, Attorney-in-fact 07/08/2025
** 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

How many SERA shares did the director sell on 7 July 2025?

The filing shows a sale of 234 Class A common shares.

What was the sale price for the SERA insider transaction?

Shares were sold at $2.36 per share.

Why were the shares sold by SERA’s director?

The sale was mandated to cover tax-withholding obligations arising from RSU vesting and was not a discretionary trade.

How many SERA shares does the director now own?

Post-transaction, the director holds 58,927 shares directly.

Does this Form 4 suggest a change in insider sentiment toward Sera Prognostics?

Given the small size and tax-related nature of the sale, the filing is considered neutral regarding insider sentiment.
Sera Prognostics, Inc.

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