SERA CIO sells 716 shares in tax sell-to-cover

SERA PROGNOSTICS, INC.

Rhea-AI Filing Summary

SERA PROGNOSTICS, INC. Chief Information Officer Robert Gardner reported an open-market sale of 716 shares of Class A common stock at a weighted average price of $2.04 per share. This reduced his direct holdings to 76,712 shares.

According to the footnotes, the sale was mandated to cover tax withholding obligations tied to vesting restricted stock units under a required “sell to cover” arrangement, and is described as a non-discretionary transaction rather than an elective share sale. The shares were sold as part of a block trade at prices ranging from $1.90 to $2.30 per share.

Insider Trade Summary

Net Seller: 716 shares

Net Sell 1 txn

Insider Harrison Robert Gardner

Role Chief Information Officer

Sold 716 shs ($1K)

Type	Security	Shares	Price	Value
Sale	Class A Common Stock	716	$2.04	$1K

Holdings After Transaction: Class A Common Stock — 76,712 shares (Direct)

Footnotes (2)

1. F1. 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. F2. 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.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did SERA Chief Information Officer report?

SERA’s Chief Information Officer Robert Gardner reported selling 716 shares of Class A common stock at a weighted average price of $2.04 per share. The transaction is disclosed as an open-market sale linked to tax withholding obligations on vested restricted stock units.

Why did SERA executive Robert Gardner sell 716 shares of stock?

The shares were sold to cover tax withholding obligations arising from the vesting of restricted stock units. The company required these obligations to be satisfied through mandated “sell to cover” transactions, so the filing states the sale was not a discretionary decision by Gardner.

How many SERA shares does the CIO hold after this Form 4 transaction?

After selling 716 shares, Robert Gardner directly holds 76,712 shares of SERA’s Class A common stock. The filing reports this post-transaction balance, providing context that the sale represented a small portion of his overall direct equity position in the company.

At what prices were Robert Gardner’s SERA shares sold in the block trade?

The filing reports a weighted average sale price of $2.04 per share, with individual trades executed between $1.90 and $2.30. The shares were sold as part of a block trade across multiple transactions within this disclosed price range on the transaction date.

Was the SERA CIO’s stock sale a discretionary insider trade?

The footnotes state the sale was mandated by the issuer’s election to use “sell to cover” transactions for tax withholding on vested restricted stock units. It explicitly notes this does not represent a discretionary transaction by the reporting person, distinguishing it from voluntary open-market selling.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 03/12/2026 - 08:12 PM EDT Learn about SEC filing dates

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^*

Harrison Robert Gardner

(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 Information Officer

3. Date of Earliest Transaction (Month/Day/Year)
03/11/2026

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	03/11/2026		S		716(1)	D	$2.04(2)	76,712	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 $1.90 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).
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.