Sera Prognostics CFO sells tax-cover shares

SERA PROGNOSTICS, INC.

Rhea-AI Filing Summary

SERA PROGNOSTICS, INC. Chief Financial Officer Austin Aerts reported a small, mandated sale of Class A common stock to cover taxes from vesting restricted stock units. He sold 674 shares in a block trade at a weighted average price of $1.96 per share, with individual trades ranging from $1.87 to $2.03. After this tax-related sell-to-cover transaction, Aerts directly holds 271,540 shares of the company’s stock, indicating the sale was minor relative to his overall position and not a discretionary open-market sale.

Insider Trade Summary

Net Seller: 674 shares

Net Sell 1 txn

Insider Aerts Austin

Role Chief Financial Officer

Sold 674 shs ($1K)

Type	Security	Shares	Price	Value
Sale	Class A Common Stock	674	$1.96	$1K

Holdings After Transaction: Class A Common Stock — 271,540 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 $1.87 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.

FAQ

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

What insider transaction did SERA's CFO report in this Form 4?

Sera Prognostics CFO Austin Aerts reported selling 674 shares of Class A common stock. The shares were sold solely to cover tax withholding obligations from vesting RSUs, rather than as a discretionary open-market sale.

At what price did SERA's CFO sell shares in the reported transaction?

The reported weighted average sale price was $1.96 per share. The block trade included multiple transactions at prices ranging from $1.87 to $2.03, as disclosed, reflecting normal execution around that average level.

How many SERA shares does the CFO hold after this Form 4 transaction?

After the tax-related sale, CFO Austin Aerts directly holds 271,540 shares of Sera Prognostics Class A common stock. This shows the 674 shares sold represent a very small portion of his overall reported holdings.

Was the SERA CFO’s Form 4 sale a discretionary open-market trade?

No. Footnotes state the 674 shares were sold to cover tax withholding from vesting RSUs. The issuer requires these “sell to cover” transactions, so the sale does not represent a discretionary trading decision by the CFO.

What is the main purpose of the SERA CFO’s share sale reported on March 9, 2026?

The purpose was to satisfy tax withholding obligations triggered by vesting restricted stock units. The company mandates funding these obligations through mandated sell-to-cover transactions, making this a routine administrative disposition rather than a strategic sale.

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

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Accepted by SEC EDGAR 03/10/2026 - 05:53 PM EDT 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^*

Aerts Austin

(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 Financial Officer

3. Date of Earliest Transaction (Month/Day/Year)
03/09/2026

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	03/09/2026		S		674(1)	D	$1.96(2)	271,540	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 $1.87 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	03/10/2026
	** 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.