Sera CEO sells 20,139 shares to cover taxes

SERA’s CEO reported a mandated sale of 20,139 shares to cover taxes on vested RSUs, retaining 844,870 shares afterward.

Rhea-AI Filing Summary

SERA PROGNOSTICS, INC. (SERA) director and Chief Executive Officer Zhenya Lindgardt reported selling 20,139 shares of Class A Common Stock on September 8, 2026, at a weighted average price around $2.00 per share. The shares were sold to cover tax withholding obligations from vesting RSUs under a mandated "sell to cover" arrangement and are not described as a discretionary trade. Following this transaction, Lindgardt directly holds 844,870 shares of SERA common stock. No Rule 10b5-1 trading plan is reported.

Insider Trade Summary

Net Seller: 20,139 shares

Net Sell 1 txn

Insider Lindgardt Zhenya

Role Chief Executive Officer

Sold 20,139 shs ($40K)

Type	Security	Shares	Price	Value
Sale	Class A Common Stock F1, F2	20,139	$2.00	$40K

Holdings After Transaction: Class A Common Stock — 844,870 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 $2.00 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.

Key Figures

Shares sold: 20,139 shares Weighted average sale price: $2.00 per share Sale price range: $2.00–$2.03 per share +1 more

4 metrics

Shares sold 20,139 shares Class A Common Stock sold on September 8, 2026

Weighted average sale price $2.00 per share Block trade on September 8, 2026

Sale price range $2.00–$2.03 per share Prices for multiple transactions within the block trade

Shares held after transaction 844,870 shares Direct ownership by CEO after September 8, 2026 sale

Key Terms

sell to cover, restricted stock units, weighted average price, block trade

4 terms

sell to cover financial

"require the satisfaction of tax withholding obligations to be funded by "sell to cover" transactions"

Sell to cover is when a person who receives company stock through options or awards sells just enough shares immediately to pay required taxes, exercise costs, or fees, keeping the rest. Think of it like cashing part of a bonus to cover the tax bill so you can keep the remainder. For investors, it can create predictable small selling pressure and slightly change the number of shares actually held by insiders without increasing long‑term dilution.

restricted stock units financial

"in connection with the vesting of restricted stock units ("RSUs")"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

weighted average price financial

"The price reported is a weighted average price"

Weighted average price is the average price of a security where each trade or component is counted according to its size, so bigger trades pull the average more than smaller ones. Think of it like calculating the average cost of a grocery haul where items you bought more of have greater influence on the final per-item cost. Investors use it to understand the true average price paid or received, judge execution quality, and compare trading performance against market movement.

block trade financial

"These shares were sold as part of a block trade in multiple transactions"

A block trade is a large, privately arranged sale or purchase of a company's shares or bonds between big investors, often negotiated to avoid upsetting the public market price. Think of it like selling a truckload of goods directly to one buyer instead of unloading it on a busy street — it moves a lot of supply at once and can signal shifting demand, affect immediate liquidity, and influence short-term stock prices.

FAQ

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

What insider transaction did SERA CEO Zhenya Lindgardt report on this Form 4 for SERA?

Zhenya Lindgardt reported a sale of 20,139 shares of SERA Class A Common Stock on September 8, 2026, at a weighted average price around $2.00 per share, in a block trade with prices ranging from $2.00 to $2.03.

Why were the 20,139 SERA shares sold by the CEO?

The 20,139 shares were sold to cover tax withholding obligations arising from the vesting of restricted stock units. The company required these obligations to be funded via "sell to cover" transactions, so the sale is described as non-discretionary for the CEO.

How many SERA shares does the CEO hold after this reported transaction?

After the reported sale, Zhenya Lindgardt directly holds 844,870 shares of SERA Class A Common Stock. This figure is reported as the total direct ownership following the September 8, 2026 transaction.

At what prices were the SERA shares sold in the CEO’s September 8, 2026 trade?

The filing reports a weighted average price of $2.00 per share. The shares were sold as part of a block trade in multiple transactions at prices ranging from $2.00 to $2.03 per share.

Was the SERA CEO’s September 8, 2026 sale under a Rule 10b5-1 trading plan?

The filing does not indicate use of a Rule 10b5-1 trading plan; the plan checkbox is not affirmed. Instead, the sale is described as mandated by the company’s tax withholding "sell to cover" election.

Is the SERA CEO’s September 8, 2026 sale described as discretionary?

No. The sale of 20,139 shares is described as mandated by the issuer’s election to satisfy tax withholding obligations through "sell to cover" transactions and is stated to not represent a discretionary transaction by the CEO.

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

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Available on EDGAR 09/09/2026 - 04:07 PM Accepted by SEC EDGAR 09/09/2026 - 04:07 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

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 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)

X	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Executive Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/08/2026

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	09/08/2026		S		20,139(1)	D	$2(2)	844,870	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 $2.00 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	09/09/2026
	** 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)