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

Rhea-AI Filing Summary

Sera Prognostics insider sale reported. Paul Kearney, Chief Data Officer, filed a Form 4 disclosing a sale of 10,542 shares of Class A common stock on 08/29/2025 at a reported price of $3.49 per share. After the transaction Mr. Kearney beneficially owned 178,398 shares, held directly. The filing states the trade was executed under a Rule 10b5-1 trading plan adopted May 21, 2025, indicating the sale was preplanned rather than a discretionary transaction. The Form 4 was signed by an attorney-in-fact on behalf of the reporting person on 09/02/2025.

Positive

• Transaction executed under a Rule 10b5-1 trading plan, indicating pre-authorized sale and compliance with insider-trading safeguards
• Form 4 clearly discloses the reporting person\'s role as Chief Data Officer and provides post-transaction beneficial ownership

Negative

• Insider disposed of 10,542 shares, reducing direct holdings to 178,398 shares
• Sale occurred at $3.49 per share, which may be perceived negatively by some investors despite being under a preplanned program

Insights

Securities Analyst

TL;DR: Insider sold 10,542 shares under a 10b5-1 plan; transaction appears procedural, not an unscheduled divestiture.

The sale of 10,542 shares at $3.49 reduces the reporting person\'s direct holding to 178,398 shares. The explicit use of a Rule 10b5-1 plan adopted May 21, 2025, supports that the trade was pre-authorized and likely not based on nonpublic information. For investors, the quantitative impact is modest relative to typical outstanding share counts for public issuers; the filing does not disclose any derivative transactions or other changes in ownership form. No additional financial metrics or rationale for the plan are provided.

Corporate Governance Expert

TL;DR: Governance processes followed: officer disclosed sale and 10b5-1 plan, consistent with compliance best practices.

The Form 4 clearly identifies the reporting person\'s role as Chief Data Officer and shows compliance with Section 16 reporting via a timely filing executed by an attorney-in-fact. Adoption of a 10b5-1 trading plan is a recognized mechanism to mitigate insider trading risk. The filing provides no indication of undisclosed related-party transactions, amendments, or coordination with other insiders. Material governance implications appear limited based solely on this disclosure.

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).

X

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)
08/29/2025

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	08/29/2025		S(1)		10,542	D	$3.49	178,398	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. The transaction(s) reported on this Form 4 was/were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 21, 2025.

	/s/ Benjamin G. Jackson, Attorney-in-fact	09/02/2025
	** 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 Paul Kearney report on Form 4?

Mr. Kearney reported a sale of 10,542 Class A shares on 08/29/2025 at $3.49 per share and beneficial ownership of 178,398 shares after the sale.

Was the sale by the SERA insider part of a 10b5-1 plan?

Yes. The Form 4 states the transaction was effected pursuant to a Rule 10b5-1 trading plan adopted May 21, 2025.

What is Paul Kearney\\'s position at SERA?

He is listed as Chief Data Officer on the Form 4.

When was the Form 4 signed and filed?

The Form 4 was signed by an attorney-in-fact on 09/02/2025 and the reported transaction date was 08/29/2025.

Did the Form 4 report any derivative transactions?

No. Table II for derivative securities contains no reported transactions.