Sera CIO sells 3,360 shares to cover taxes

SERA PROGNOSTICS, INC.

Rhea-AI Filing Summary

SERA PROGNOSTICS, INC. Chief Information Officer Robert Gardner reported a mandated sale of 3,360 shares of Class A common stock at a weighted average price of $1.96 per share. The shares were sold solely to cover tax withholding obligations tied to vesting restricted stock units under a required “sell to cover” election, rather than as a discretionary trade. Following the transaction, he directly holds 77,428 shares.

Insider Trade Summary

Net Seller: 3,360 shares

Net Sell 1 txn

Insider Harrison Robert Gardner

Role Chief Information Officer

Sold 3,360 shs ($7K)

Type	Security	Shares	Price	Value
Sale	Class A Common Stock	3,360	$1.96	$7K

Holdings After Transaction: Class A Common Stock — 77,428 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 $1.87 to $2.03, 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 CIO Robert Gardner report on this Form 4?

Robert Gardner reported selling 3,360 shares of SERA Class A common stock. The shares were sold at a weighted average price of $1.96 per share as part of a single block trade executed in multiple transactions within a narrow price range.

Why did SERA’s Chief Information Officer sell 3,360 shares of stock?

The sale was made solely to cover tax withholding obligations arising from the vesting of restricted stock units. It was mandated by Sera Prognostics’ election to satisfy taxes through “sell to cover” transactions, so it was not a discretionary market-timing decision by Gardner.

What price did the SERA shares sell for in Robert Gardner’s Form 4 transaction?

The reported weighted average sale price was $1.96 per share. The shares were sold in a block trade with individual transaction prices ranging from $1.87 to $2.03, and detailed trade-level pricing is available from Gardner upon request to interested parties.

How many SERA shares does Robert Gardner hold after this Form 4 transaction?

After the tax-related sale, Robert Gardner directly holds 77,428 shares of SERA Class A common stock. This post-transaction balance reflects his remaining equity stake following the mandated “sell to cover” disposition used to satisfy withholding obligations on vested RSUs.

Was Robert Gardner’s SERA stock sale a discretionary trade or part of a plan?

The transaction was not discretionary; it was mandated by the company’s tax withholding method. Sera Prognostics required that tax obligations from RSU vesting be funded via “sell to cover” transactions, so the sale reflects tax compliance rather than an elective change in exposure.

What additional pricing details are available about the SERA Form 4 stock sale?

The filing notes the reported price is a weighted average for shares sold between $1.87 and $2.03. Gardner has indicated he will provide full information on the number of shares sold at each specific price within the block trade to regulators, the issuer, or shareholders upon request.

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

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Accepted by SEC EDGAR 03/10/2026 - 05:53 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)
03/09/2026

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	03/09/2026		S		3,360(1)	D	$1.96(2)	77,428	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 $1.87 to $2.03, 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	03/10/2026
	** 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.