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

Rhea-AI Filing Summary

Mirza Mansoor Raza, a director of Sera Prognostics, Inc. (SERA), reported a non-discretionary sale of 222 shares of Class A common stock on 09/05/2025 to satisfy tax withholding from vested restricted stock units. The shares were sold via a mandated "sell-to-cover" process at a weighted average price of $3.35 (transactions ranged $3.35–$3.36). After the transaction the reporting person beneficially owned 58,480 shares. The Form 4 was filed by one reporting person and signed by an attorney-in-fact.

Insights

Financial Analyst

TL;DR Routine sell-to-cover reduced holdings slightly; no voluntary disposition or material change to ownership stake.

The filing documents a standard tax-withholding sale tied to RSU vesting rather than an intentional trade by the director. The number sold, 222 shares, and the post-transaction beneficial ownership of 58,480 shares suggest this is an administrative transaction with limited market or governance impact. Prices reported are a weighted average of $3.35 with individual trades between $3.35 and $3.36.

Corporate Governance Expert

TL;DR Disclosure aligns with Section 16 requirements; transaction appears compliant and non-material.

The report clearly states the sale was mandated by the issuer's sell-to-cover election for RSU tax withholding, which preserves Rule 10b5-1 affirmative defense context and transparency obligations. Reporting by a single person and signature by an attorney-in-fact meet filing protocols. No additional governance concerns are disclosed in this Form 4.

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

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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^*

Mirza Mansoor Raza

(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)
09/05/2025

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	09/05/2025		S		222(1)	D	$3.35(2)	58,480	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 in multiple transactions at prices ranging from $3.35 to $3.36, 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	09/05/2025
	** 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 transaction did Mirza Mansoor Raza report on Form 4 for SERA?

He reported a sale of 222 shares of Class A common stock on 09/05/2025 to cover tax withholding from vested RSUs.

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

The weighted average price reported was $3.35; individual sale prices ranged from $3.35 to $3.36.

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

The reporting person beneficially owned 58,480 shares following the transaction.

Was the sale in the Form 4 discretionary or mandated?

The sale was mandated by the issuer's sell-to-cover election to satisfy tax withholding and was not a discretionary trade by the reporting person.

Who signed the Form 4 filing for this transaction?

The Form 4 was signed by Benjamin G. Jackson, Attorney-in-fact on 09/05/2025.