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

Rhea-AI Filing Summary

Robert Gardner, Chief Information Officer and director at Sera Prognostics, sold shares to satisfy tax withholding from restricted stock units. The Form 4 reports a non-discretionary "sell to cover" transaction on 08/08/2025 in which 5,962 Class A common shares were sold as a block at prices ranging from $2.28 to $2.73, with a weighted average price of $2.54. After the sale the reporting person beneficially owns 108,577 shares. The filing states the sale was mandated by the issuer to satisfy tax obligations and that detailed per-price breakdowns for the block trade will be provided on request. No derivative securities were reported.

Insights

Financial Analyst

Routine sell-to-cover by an officer; disclosure is factual and non-discretionary, so immediate market impact appears limited.

The filing documents a common administrative transaction: 5,962 shares sold to fund tax withholding on RSU vesting at a weighted average of $2.54. Because the issuer mandated the sale, the transaction does not reflect an independent decision to liquidate holdings. The absence of derivative activity and the modest size relative to total outstanding shares (not disclosed here) suggest limited informational value for valuation changes.

Corporate Governance Expert

Disclosure meets Section 16 requirements; sale is documented as non-discretionary and includes price-range transparency.

The Form 4 names the reporting person as CIO and director and clearly explains the "sell to cover" mechanism used to satisfy tax withholding obligations tied to RSU vesting. The filing provides the weighted average price and the price range for the block trade and affirms availability of a detailed price breakdown on request, which supports transparency obligations under insider reporting rules.

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

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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^*

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)
08/08/2025

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	08/08/2025		S		5,962(1)	D	$2.54(2)	108,577	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 $2.28 to $2.73, 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	08/11/2025
	** 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 did SERA insider Robert Gardner report on Form 4?

The filing shows Robert Gardner sold 5,962 Class A common shares on 08/08/2025 to satisfy tax withholding from RSU vesting; weighted average price $2.54; beneficial ownership after the sale 108,577 shares.

Was the sale by the SERA CIO discretionary?

No. The Form 4 states the sale was mandated by the issuer's "sell to cover" election to fund tax withholding and "does not represent a discretionary transaction" by the reporting person.

At what prices were the SERA shares sold?

The shares were sold as part of a block trade at prices ranging from $2.28 to $2.73, with a reported weighted average price of $2.54.

Did the Form 4 report any derivative transactions for SERA?

No. Table II in the filing contains no reported derivative securities acquired, disposed of, or beneficially owned.

What is Robert Gardner's relationship to SERA according to the filing?

He is identified as a Director and the company's Chief Information Officer, and this Form 4 was filed by one reporting person.