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

Rhea-AI Filing Summary

Sera Prognostics (SERA) reporting person Zhenya Lindgardt, who serves as Chief Executive Officer and Director, reported a mandated sale to satisfy tax withholding on vested restricted stock units. On 08/08/2025 the reporting person sold 8,571 shares in a block trade at a weighted average price of $2.54; individual trade prices ranged from $2.28 to $2.73. The Form states the sale was required by the issuer's election to use "sell to cover" and was not a discretionary transaction by the reporting person.

Following the sale the reporting person beneficially owned 832,294 shares directly. The Form 4 was executed by an attorney-in-fact and filed with the SEC on 08/11/2025. No derivative transactions were reported in this filing.

Positive

• Reporting person retained substantial direct ownership of 832,294 shares after the sale
• Sale was non-discretionary and executed to satisfy tax withholding per the issuer's sell-to-cover election

Negative

• None.

Insights

Securities Analyst

TL;DR: Routine, non-discretionary sell-to-cover of RSUs; small relative to reported holdings, unlikely to be material.

The Form 4 documents a tax-withholding sale of 8,571 shares by CEO/Director Zhenya Lindgardt on 08/08/2025, executed as a block trade at a weighted average price of $2.54. The filing clarifies this was mandated by the issuer's sell-to-cover election rather than a voluntary disposition. After the transaction the reporting person retained 832,294 shares directly and no derivative positions are disclosed. For investors, this appears procedural and not indicative of a change in executive conviction.

Corporate Governance Expert

TL;DR: Administrative tax-related sale under company policy; filing is transparent and includes block-trade price range disclosure.

The filing identifies the reporting person as both a director and the Chief Executive Officer and documents a sell-to-cover triggered by RSU vesting. The Form provides a weighted average price and reports the trade range ($2.28–$2.73), and notes the reporting person will provide detailed breakdowns of the block trade prices upon request to the SEC or issuer. The signature by an attorney-in-fact is properly noted. This is a routine administrative disclosure rather than a governance red flag.

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^*

Lindgardt Zhenya

(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
X	Officer (give title below)		Other (specify below)
	Chief Executive 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		8,571(1)	D	$2.54(2)	832,294	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 Form 4 report for insider Zhenya Lindgardt?

The Form 4 reports a mandated sell-to-cover tax withholding sale of 8,571 shares by CEO/Director Zhenya Lindgardt on 08/08/2025.

At what price were the SERA shares sold?

The filing reports a weighted average price of $2.54; individual trades in the block ranged from $2.28 to $2.73.

How many SERA shares does the reporting person own after the transaction?

After the reported transaction the reporting person beneficially owned 832,294 shares directly.

Why were the SERA shares sold?

The shares were sold to cover tax withholding obligations related to the vesting of restricted stock units and were required by the issuer's election to use "sell to cover."

When was the Form 4 filed and signed?

The earliest transaction date is 08/08/2025; the Form 4 was signed by an attorney-in-fact and filed on 08/11/2025.