Sera CCO acquires 3,168 shares via ESPP

Sera Prognostics, Inc.’s Chief Commercial Officer, Dyaarl Lee Anderson Jr., acquired 3,168 shares of Class A Common Stock at $1.84 per share.

Rhea-AI Filing Summary

Sera Prognostics, Inc.’s Chief Commercial Officer, Dyaarl Lee Anderson Jr., acquired 3,168 shares of Class A Common Stock at $1.84 per share. These shares were purchased through the company’s 2021 Employee Stock Purchase Plan for the purchase period from December 1, 2025 to May 29, 2026.

Following this transaction, he directly holds 82,737 shares of Class A Common Stock. The filing characterizes the event as a grant, award, or other acquisition exempt under Rule 16b-3(d) and Rule 16b-3(c), indicating a routine employee share purchase rather than an open-market trade.

Insider Trade Summary

Grant/Award: 3,168 shares

Grant/Award 1 txn

Insider Anderson Dyaarl Lee Jr.

Role Chief Commercial Officer

Type	Security	Shares	Price	Value
Grant/Award	Class A Common Stock	3,168	$1.84	$6K

Holdings After Transaction: Class A Common Stock — 82,737 shares (Direct)

Footnotes (1)

1. F1. These shares were purchased pursuant to the Sera Prognostics, Inc. 2021 Employee Stock Purchase Plan ("ESPP"), for the purchase period of December 1, 2025 to May 29, 2026, and were exempt under both Rule 16b-3(d) and Rule 16b-3(c).

Key Figures

Shares acquired: 3,168 shares Acquisition price: $1.84 per share Post-transaction holdings: 82,737 shares +2 more

5 metrics

Shares acquired 3,168 shares Class A Common Stock acquired on May 29, 2026

Acquisition price $1.84 per share Price for shares acquired under ESPP

Post-transaction holdings 82,737 shares Direct Class A Common Stock after acquisition

ESPP purchase period start December 1, 2025 Start of ESPP purchase period for these shares

ESPP purchase period end May 29, 2026 End of ESPP purchase period for these shares

Key Terms

Employee Stock Purchase Plan, Rule 16b-3(d), Rule 16b-3(c), Class A Common Stock

4 terms

Employee Stock Purchase Plan financial

"These shares were purchased pursuant to the Sera Prognostics, Inc. 2021 Employee Stock Purchase Plan ("ESPP"),"

An employee stock purchase plan is a company program that lets workers buy shares through small payroll deductions, often at a discount to the market price and after a set offering period. Think of it like a workplace savings plan that turns into ownership: it encourages employees to share in the company’s success and can create predictable buying or selling of stock that investors watch because it affects supply, demand and employee incentives.

Rule 16b-3(d) regulatory

"and were exempt under both Rule 16b-3(d) and Rule 16b-3(c)."

Rule 16b-3(d) is a narrow SEC safe-harbor that shields company insiders (officers, directors and large shareholders) from liability for short‑swing profits when their buys or sells of company stock are made under a pre-established, written plan or contract that removes the insider’s ability to time trades. For investors, this matters because it permits predictable, automated insider transactions — like scheduled sales for diversification or payroll withholding — without triggering forced disgorgement, so such planned trades are treated differently from opportunistic insider trading.

Rule 16b-3(c) regulatory

"and were exempt under both Rule 16b-3(d) and Rule 16b-3(c)."

An SEC rule that lets corporate insiders avoid automatic "short‑swing" profit recovery when they buy or sell their company’s stock under a pre‑approved, written plan that meets specific conditions. For investors, it matters because it clarifies when insider trades are treated as routine, reducing legal uncertainty and helping distinguish trades made for ordinary compensation or pre‑planned reasons from those that might signal opportunistic or timely insider advantage.

Class A Common Stock financial

"security_title": "Class A Common Stock""

Class A common stock is a category of a company’s shares that carries a specific set of ownership rights—most commonly defined voting power and claims on dividends—set out in the company’s charter. For investors it matters because the class determines how much influence you have over corporate decisions, the share’s likely dividend and trading behavior, and how it compares in value to other share classes, like choosing a particular seat with different privileges at the company’s decision-making table.

FAQ

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

What insider transaction did SERA’s Chief Commercial Officer report on this Form 4?

Sera Prognostics’ Chief Commercial Officer, Dyaarl Lee Anderson Jr., reported acquiring 3,168 shares of Class A Common Stock. The shares were obtained through the company’s 2021 Employee Stock Purchase Plan for a specified purchase period and are treated as a grant or award acquisition.

How many SERA shares does the insider hold after this reported acquisition?

After the transaction, the Chief Commercial Officer directly holds 82,737 shares of Sera Prognostics Class A Common Stock. This updated ownership figure reflects the additional 3,168 shares acquired through the 2021 Employee Stock Purchase Plan during the referenced purchase period.

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

The 3,168 shares of Sera Prognostics Class A Common Stock were acquired at $1.84 per share. The acquisition was executed under the 2021 Employee Stock Purchase Plan, which governs the purchase terms for the covered period, rather than through open-market trading.

What plan and purchase period apply to the SERA shares reported in this Form 4?

The shares were purchased under the Sera Prognostics, Inc. 2021 Employee Stock Purchase Plan. The Form 4 specifies the relevant purchase period as running from December 1, 2025 to May 29, 2026, covering when these 3,168 shares were accumulated for the insider.

How is the SERA insider transaction classified under SEC rules in this filing?

The acquisition is classified as a grant, award, or other acquisition under transaction code A. The footnote states it is exempt under Rule 16b-3(d) and Rule 16b-3(c), indicating the transaction arises from an employee plan mechanism rather than discretionary open-market share purchases.

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

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Accepted by SEC EDGAR 06/01/2026 - 04:49 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^*

Anderson Dyaarl Lee Jr.

(Last) (First) (Middle)

C/O SERA PROGNOSTICS, INC.

2749 EAST PARLEYS WAY, SUITE 200

(Street)

SALT LAKE CITY UTAH 84109

(City) (State) (Zip)

UNITED STATES

(Country)

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 Commercial Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/29/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

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

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	05/29/2026		A(1)		3,168	A	$1.84	82,737	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. These shares were purchased pursuant to the Sera Prognostics, Inc. 2021 Employee Stock Purchase Plan ("ESPP"), for the purchase period of December 1, 2025 to May 29, 2026, and were exempt under both Rule 16b-3(d) and Rule 16b-3(c).

	/s/ Benjamin G. Jackson, Attorney-in-fact	06/01/2026
	** 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.
* Form 4: SEC 1474 (03-26)