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Sera Prognostics director executes 10b5-1 sale; 18,814 shares remain

Filing Impact
(Neutral)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Sera Prognostics director Sandra AJ Lawrence reported the sale of 3,899 shares of Class A common stock on 09/09/2025 under a Rule 10b5-1 trading plan adopted June 10, 2025. The shares were sold in multiple transactions at prices ranging from $2.99 to $3.12, with a reported weighted-average price of $3.05. After the reported dispositions, the reporting person beneficially owns 18,814 shares. The Form 4 was signed by an attorney-in-fact, Benjamin G. Jackson.

Positive

  • None.

Negative

  • None.

Insights

TL;DR: Director sold a small block under a pre-established 10b5-1 plan; procedural disclosure appears complete and routine.

The sale of 3,899 shares was executed pursuant to a Rule 10b5-1 plan adopted June 10, 2025, which indicates the transactions were pre-authorized. The filer remains a director and retains 18,814 shares after the sale. The Form 4 discloses the weighted-average sale price and the price range for the multiple transactions, and the filing includes an attorney-in-fact signature. There are no indications of undisclosed related-party transactions or departures from standard Section 16 reporting protocols in the document provided.

TL;DR: Transaction is a routine insider sale under a 10b5-1 plan; no new material operational or financial information disclosed.

The reported disposition reduces the reporting person's stake to 18,814 shares; the sale prices ranged from $2.99 to $3.12 with a weighted average of $3.05. The filing does not include any derivative transactions or additional material disclosures about the issuer's performance. From a market-impact perspective, the disclosed sale size and details suggest a routine liquidity event rather than a material corporate development.

Insider Lawrence Sandra AJ
Role Director
Sold 3,899 shs ($12K)
Type Security Shares Price Value
Sale Class A Common Stock 3,899 $3.05 $12K
Holdings After Transaction: Class A Common Stock — 18,814 shares (Direct)
Footnotes (1)
  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. 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.
Form 4 Insider Transactions: What Each Field Means →
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)
 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) 3,899 D $3.05(2) 18,814 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.
/s/ Benjamin G. Jackson, Attorney-in-fact 09/09/2025
** 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.

Source: View Original Filing on SEC EDGAR

FAQ

What insider activity did SERA director Sandra AJ Lawrence report on Form 4?

The director reported the sale of 3,899 shares of Class A common stock on 09/09/2025 under a Rule 10b5-1 trading plan.

What price did Sandra AJ Lawrence receive for the SERA shares sold?

The shares were sold at prices ranging from $2.99 to $3.12, with a reported weighted-average price of $3.05.

How many SERA shares does the reporting person own after the sale?

After the reported transactions the reporting person beneficially owns 18,814 shares.

Was the sale part of a pre-established trading plan?

Yes. The Form 4 states the transactions were effected pursuant to a Rule 10b5-1 trading plan adopted on June 10, 2025.

Who signed the Form 4 for the reporting person?

The Form 4 was signed by Benjamin G. Jackson, attorney-in-fact, on 09/09/2025.