Sera Prognostics ends officer status for Aerts Austin

SERA PROGNOSTICS, INC.

Rhea-AI Filing Summary

SERA PROGNOSTICS, INC. (SERA) reports that Aerts Austin, previously identified as Chief Financial Officer, is no longer designated as an officer of the company within the meaning of Rule 16a-1 of the Securities Exchange Act of 1934 as of August 31, 2026.

This Exit Form 4 contains no reported transactions and serves only to update the insider reporting status for Section 16 purposes.

Key Figures

Effective date of status change: August 31, 2026 Shares bought reported: 0 shares Shares sold reported: 0 shares

3 metrics

Effective date of status change August 31, 2026 Date as of which the reporting person is no longer designated as an officer under Rule 16a-1

Shares bought reported 0 shares Total buy transactions in this Form 4

Shares sold reported 0 shares Total sell transactions in this Form 4

Key Terms

Exit Form 4, Rule 16a-1, Securities Exchange Act of 1934

3 terms

Exit Form 4 regulatory

"Exit Form 4 filed solely to report that, as of August 31, 2026"

Rule 16a-1 regulatory

"no longer designated as an officer of the Issuer within the meaning of Rule 16a-1"

Securities Exchange Act of 1934 regulatory

"within the meaning of Rule 16a-1 of the Securities Exchange Act of 1934, as amended"

FAQ

What does this Form 4 mean for SERA (SERA PROGNOSTICS, INC.)?

It states that Aerts Austin is no longer designated as an officer of SERA within the meaning of Rule 16a-1 as of August 31, 2026. The report is an administrative update to insider reporting status and includes no share transactions.

Were any SERA (SERA) shares bought or sold in this Form 4?

No. The transaction summary shows 0 shares bought and 0 shares sold, with no other acquisitions or dispositions. The report functions solely as an Exit Form 4 updating officer status, not recording trades.

Who is the reporting person in this SERA Form 4 and what was the role?

The reporting person is Aerts Austin, who had been identified as Chief Financial Officer. The report clarifies that, effective August 31, 2026, this person is no longer designated as an officer for Rule 16a-1 purposes.

What is an Exit Form 4 in the context of SERA (SERA)?

An Exit Form 4 is used to report that a person previously subject to Section 16 reporting is no longer in a role that meets the officer or insider definition under Rule 16a-1. Here, it confirms that status change for Aerts Austin, with no reported trades.

Does this SERA Form 4 involve a Rule 10b5-1 trading plan?

No. The document-level indicator shows the Rule 10b5-1 box is not checked, and there are no transactions reported. The report concerns only the change in officer designation, not trading activity under any plan.

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Available on EDGAR 09/02/2026 - 04:03 PM Accepted by SEC EDGAR 09/02/2026 - 04:02 PM 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

X

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^*

Aerts Austin

(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 Financial Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
08/31/2026

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

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:

Remarks:

Exit Form 4 filed solely to report that, as of August 31, 2026, the Reporting Person is no longer designated as an officer of the Issuer within the meaning of Rule 16a-1 of the Securities Exchange Act of 1934, as amended.

	/s/ Benjamin G. Jackson, Attorney-in-fact	09/02/2026
	** 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)