Routine Tax-Withholding Sale by SERA Director; Ownership Now 58.7k Shares

Rhea-AI Filing Summary

Sera Prognostics (SERA) Form 4: Director Mansoor Raza Mirza reported the automatic sale of 225 Class A common shares on 08/05/2025 at $2.50 per share ($563 total value). The shares were sold exclusively to satisfy tax-withholding obligations triggered by the vesting of restricted stock units; the transaction was executed under the company’s mandatory “sell-to-cover” program and was not discretionary. Following the sale, Mirza’s direct beneficial ownership stands at 58,702 shares. No derivative securities were involved and no changes were made to option or RSU positions.

The filing reflects a routine administrative sell-to-cover with de minimis dollar value relative to company market capitalization and Mirza’s remaining stake. There are no indications of broader insider sentiment, strategic shifts, or liquidity concerns.

Insights

Securities Analyst

TL;DR: Minor tax-related insider sale; neutral signal.

The 225-share sale (~$0.6k) is immaterial to SERA’s float and Mirza retains >58k shares. Because it was compelled by the company’s RSU tax-withholding policy, the transaction provides no incremental insight into the director’s forward view of the stock. Volume is too small to influence supply-demand dynamics. From an insider-trading analytic standpoint, the event is routine & non-informative; therefore, portfolio positioning should remain unchanged.

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
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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)
08/05/2025

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	08/05/2025		S		225(1)	D	$2.5	58,702	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.

	/s/ Benjamin G. Jackson, Attorney-in-fact	08/05/2025
	** 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

How many SERA shares did Director Mansoor Raza Mirza sell on 08/05/2025?

He sold 225 Class A common shares.

What was the sale price of the SERA shares reported in the Form 4?

The shares were sold at $2.50 per share.

Why were the shares sold according to the Form 4 filing for SERA?

The sale was a mandatory ‘sell-to-cover’ to fund tax-withholding obligations tied to RSU vesting.

How many SERA shares does the director own after the reported transaction?

Following the sale, Mirza beneficially owns 58,702 shares directly.

Does the Form 4 indicate any discretionary trading by the director?

No. The filing states the sale was not discretionary; it was required by the issuer’s tax policy.