Sera Prognostics (SERA) officer sells shares to cover RSU tax

Rhea-AI Filing Summary

Sera Prognostics Chief Data Officer Paul Kearney reported an open-market sale of 2,026 shares of Class A common stock at a weighted average price of $1.96 per share on March 9, 2026. According to the disclosure, these shares were sold solely to cover tax withholding obligations arising from the vesting of restricted stock units under a mandatory “sell to cover” arrangement, meaning the transaction was not discretionary. Following this tax-related sale, Kearney continues to hold 165,357 shares of Sera Prognostics common stock.

Insider Trade Summary

Net Seller: 2,026 shares ($3,971)

Net Sell 1 txn

Insider Kearney Paul

Role Chief Data Officer

Sold 2,026 shs ($4K)

Type	Security	Shares	Price	Value
Sale	Class A Common Stock	2,026	$1.96	$4K

Holdings After Transaction: Class A Common Stock — 165,357 shares (Direct)

Footnotes (1)

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. 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.

Form 4 Insider Transactions: What Each Field Means →

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^*

Kearney Paul

(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 Data 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		2,026(1)	D	$1.96(2)	165,357	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.

FAQ

What insider transaction did SERA Chief Data Officer Paul Kearney report?

Paul Kearney reported selling 2,026 shares of SERA Class A common stock. The weighted average sale price was $1.96 per share, and the transaction was executed as part of a block trade across multiple prices between $1.87 and $2.03.

Why did SERA executive Paul Kearney sell 2,026 shares of stock?

The 2,026-share sale was made solely to cover tax withholding obligations from the vesting of restricted stock units. The company required a mandatory “sell to cover” arrangement, so this did not represent a discretionary decision by Kearney to reduce his investment.

How many SERA shares does Paul Kearney hold after this Form 4 transaction?

After the tax-related sale, Paul Kearney holds 165,357 shares of SERA Class A common stock. This figure reflects his direct ownership position reported following the March 9, 2026 transaction disclosed in the Form 4 filing.

What price range did the SERA shares sell for in Paul Kearney’s transaction?

The reported weighted average sale price was $1.96 per share. The Form 4 notes the shares were sold in a block trade across multiple transactions at prices ranging from $1.87 to $2.03, inclusive, with detailed breakdowns available on request.

Was Paul Kearney’s SERA stock sale a discretionary insider sale?

No. The filing explains the sale was mandated to cover tax withholding tied to RSU vesting under the issuer’s required “sell to cover” policy. As a result, it is not considered a discretionary trading decision by Kearney.

What does the Form 4 say about obtaining detailed pricing data for Kearney’s sale?

The Form 4 states that detailed information on the number of shares sold at each price within the $1.87–$2.03 range will be provided upon request to the SEC staff, the issuer, or any security holder seeking a full transaction breakdown.