Sera Prognostics CCO sells 1,800 shares at $2

SERA’s Chief Commercial Officer sold 1,800 shares to cover RSU tax withholding and now holds 76,198 shares directly.

Rhea-AI Filing Summary

SERA PROGNOSTICS, INC. (SERA) reported that Chief Commercial Officer Dyaarl Lee Anderson Jr. sold 1,800 shares of Class A Common Stock on September 10, 2026 at a weighted average price of about $2.00 per share. The company states the shares were sold to cover tax withholding on vesting RSUs under a mandatory “sell to cover” arrangement and are not a discretionary sale. Following this transaction, he directly holds 76,198 shares of Class A Common Stock.

Insider Trade Summary

Net Seller: 1,800 shares

Net Sell 1 txn

Insider Anderson Dyaarl Lee Jr.

Role Chief Commercial Officer

Sold 1,800 shs ($4K)

Type	Security	Shares	Price	Value
Sale	Class A Common Stock F1, F2	1,800	$2.00	$4K

Holdings After Transaction: Class A Common Stock — 76,198 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: 1,800 shares Weighted average sale price: $2.00 per share Price range of block trade: $2.00–$2.03 per share +2 more

5 metrics

Shares sold 1,800 shares Class A Common Stock sold on September 10, 2026

Weighted average sale price $2.00 per share Block trade with prices from $2.00 to $2.03 per share

Price range of block trade $2.00–$2.03 per share Multiple transactions in a single block trade

Shares owned after transaction 76,198 shares Direct holdings of the Chief Commercial Officer after the sale

Net shares sold in filing 1,800 shares Net selling activity reported in this Form 4

Key Terms

restricted stock units ("RSUs"), sell to cover, weighted average price, block trade, +1 more

5 terms

restricted stock units ("RSUs") financial

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

Restricted stock units (RSUs) are a company promise to give an employee shares of stock (or cash equivalent) in the future, but only after certain conditions—usually staying with the company for a set time or hitting performance goals—are met. Investors watch RSUs because when they vest they increase the number of shares outstanding and can lead insiders to sell shares, affecting share price, company dilution and the true cost of employee pay.

sell to cover financial

"funded by "sell to cover" transactions and does not represent"

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.

weighted average price financial

"The price reported is a weighted average price. These shares"

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"

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.

tax withholding obligations financial

"sold by the Reporting Person to cover tax withholding obligations"

FAQ

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

What insider transaction did SERA (SERA) disclose for September 10, 2026?

SERA disclosed that its Chief Commercial Officer, Dyaarl Lee Anderson Jr., sold 1,800 shares of Class A Common Stock on September 10, 2026 at a weighted average price of about $2.00 per share.

Why did the SERA Chief Commercial Officer sell 1,800 shares of SERA stock?

The filing states the 1,800 shares were sold to cover tax withholding obligations related to the vesting of RSUs. The sale was mandated by SERA’s “sell to cover” election and is described as not a discretionary transaction by the officer.

How many SERA (SERA) shares does the insider own after this Form 4 transaction?

After the reported sale, Chief Commercial Officer Dyaarl Lee Anderson Jr. directly owns 76,198 shares of SERA Class A Common Stock, according to the Form 4 disclosure.

What price did the SERA insider receive for the 1,800 shares sold?

The reported price is a weighted average of about $2.00 per share. The filing notes the shares were sold in a block trade through multiple transactions at prices ranging from $2.00 to $2.03 per share.

Was the SERA (SERA) insider sale made under a Rule 10b5-1 trading plan?

The Form 4 indicates that no Rule 10b5-1 trading plan is affirmed for this transaction. Instead, the sale is described as mandated by the company’s tax withholding “sell to cover” arrangement for RSU vesting.

Is the 1,800-share sale by the SERA Chief Commercial Officer a market sale?

Yes. The transaction is coded as a sale in open market or private transaction, executed as part of a block trade with multiple executions between $2.00 and $2.03 per share.

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

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Available on EDGAR 09/11/2026 - 04:07 PM Accepted by SEC EDGAR 09/11/2026 - 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^*

Anderson Dyaarl Lee Jr.

(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)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/10/2026

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	09/10/2026		S		1,800(1)	D	$2(2)	76,198	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	09/11/2026
	** 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)