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

Rhea-AI Filing Summary

Insider sale to cover RSU tax withholding. Kearney Paul, Chief Data Officer of Sera Prognostics (SERA), sold 6,460 shares of Class A common stock on 08/08/2025 as a mandated sell-to-cover to satisfy tax withholding associated with RSU vesting. The filing states this was not a discretionary transaction by the reporting person. The block trade produced a weighted-average price of $2.54, with transaction prices ranging from $2.28 to $2.73.

The reporting person continues to directly beneficially own 188,940 shares. The filer notes it will provide a per-price breakdown of the block trade to the SEC or other parties upon request. No derivative transactions were reported in this filing.

Positive

• Sale was a mandated sell-to-cover to satisfy RSU tax withholding and is explicitly described as non-discretionary
• Reporting person retains 188,940 shares of direct beneficial ownership after the transaction

Negative

• 6,460 shares were sold, reducing the reporting person's holdings as reported
• Sale executed at a weighted-average price of $2.54, which provides limited upside context for investors evaluating recent insider activity

Insights

Securities Analyst

TL;DR Routine sell-to-cover tied to RSU vesting; limited market signal.

The reported sale of 6,460 shares was executed to satisfy tax withholding and is described as non-discretionary. The weighted-average sale price of $2.54 and the stated price range provide transparency on execution. Because the transaction is compensation-related and the reporting person still holds 188,940 shares directly, this filing offers little new information about management's view of the company and is unlikely to be materially market-moving.

Corporate Governance Expert

TL;DR Compensation-related disposition; governance disclosure appears complete and transparent.

The disclosure clearly identifies the nature of the transaction as a sell-to-cover following RSU vesting and provides the weighted-average price plus the traded price range. The statement that the sale was mandated by the issuer's election and not a discretionary sale reduces concerns about opportunistic insider selling. The filer also offers to supply detailed per-price allocations, which supports governance transparency.

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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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^*

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)
08/08/2025

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		6,460(1)	D	$2.54(2)	188,940	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 Kearney Paul (SERA) do according to the Form 4?

Kearney Paul sold 6,460 shares of Class A common stock to cover tax withholding tied to RSU vesting; the sale was described as non-discretionary.

When was the transaction and what price was realized?

Transaction date: 08/08/2025. The filing reports a weighted-average price of $2.54, with individual trade prices ranging from $2.28 to $2.73.

How many shares does the reporting person own after the sale?

The reporting person directly beneficially owns 188,940 shares following the reported transaction.

Was this sale discretionary or part of a plan?

The filing states the sale was a mandated sell-to-cover election by the issuer to satisfy tax withholding and did not represent a discretionary transaction by the reporting person.

Is there additional transaction detail available about the block trade?

Yes. The filing states the reporting person will provide a per-price breakdown of the block trade to the SEC, the issuer, or any security holder upon request.