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

Rhea-AI Filing Summary

Sera Prognostics insider sale to satisfy tax withholding

Zhenya Lindgardt, who serves as both Chief Executive Officer and a director of Sera Prognostics, sold 21,158 shares of Class A common stock on 09/09/2025 as a "sell to cover" to satisfy tax withholding obligations related to RSU vesting. The shares were part of a block trade executed at prices ranging from $3.00 to $3.33 with a reported weighted average price of $3.15. After the transaction, the reporting person beneficially owned 811,136 shares, reported as direct ownership.

Positive

• Reporting person retains substantial direct ownership: 811,136 shares beneficially owned following the transaction
• Transaction was procedural: Sale was a mandated "sell to cover" for RSU tax withholding, not a discretionary divestiture

Negative

• Shares sold: 21,158 Class A common shares were disposed of on 09/09/2025
• Block trade price range disclosed: Shares sold in transactions at prices ranging from $3.00 to $3.33 with a weighted average of $3.15

Insights

Corporate Governance Expert

TL;DR: Routine sell-to-cover by CEO/director to satisfy RSU tax withholding; substantial direct ownership remains.

The filing documents a non-discretionary "sell to cover" of 21,158 Class A shares tied to RSU vesting, not an open-market divestment decision by the reporting person. The transaction price range ($3.00–$3.33) and weighted average ($3.15) are disclosed, and remaining direct beneficial ownership is 811,136 shares. For governance and signaling purposes, this appears procedural rather than a change in strategic ownership, but investors may note the exact volumes and pricing disclosed.

Securities Analyst

TL;DR: Small mandated disposition relative to total holdings; reported block trade details provide price transparency.

The report clarifies that the sale was mandated by the issuer's sell-to-cover election to fund tax withholding from RSU vesting, removing ambiguity about intent. The disclosure of the weighted average price and price range for the block trade enhances transparency. The remaining 811,136 shares held directly by the reporting person remain a material stake to monitor in future filings.

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^*

Lindgardt Zhenya

(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
X	Officer (give title below)		Other (specify below)
	Chief Executive Officer

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		21,158(1)	D	$3.15(2)	811,136	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 $3.00 to $3.33, 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	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.

FAQ

What did SERA insider Zhenya Lindgardt report on Form 4?

The filing reports a sale of 21,158 Class A common shares on 09/09/2025 to cover tax withholding from RSU vesting.

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

The reporting person beneficially owned 811,136 shares of Class A common stock following the reported transaction.

At what price were the SERA shares sold in the Form 4 filing?

The shares were sold in a block trade at prices ranging from $3.00 to $3.33, with a reported weighted average price of $3.15.

Why were the SERA shares sold according to the filing?

The sale was mandated by the issuer's election to require "sell to cover" transactions to satisfy tax withholding obligations related to RSU vesting.

What positions does the reporting person hold at Sera Prognostics?

Zhenya Lindgardt is identified as both Chief Executive Officer and a director of Sera Prognostics.