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

Rhea-AI Filing Summary

Sera Prognostics insider sale by Chief Data Officer — The reporting person, Paul Kearney, executed a sale of 1,458 shares of Class A common stock on 09/02/2025 at a reported price of $3.49 per share. After the sale, the filing shows the reporting person beneficially owns 176,940 shares. The filing states the sale was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 21, 2025, and the Form 4 was submitted by an attorney-in-fact.

Positive

• Sale executed under a Rule 10b5-1 trading plan, indicating a pre-authorized and compliant process
• Reporting person retains substantial beneficial ownership at 176,940 shares after the sale

Negative

• Disposition of 1,458 shares reduces the officer's stake, which may be viewed negatively by some investors

Insights

Financial Analyst

TL;DR: Officer sold a small block under a 10b5-1 plan; remaining stake remains substantial.

The reported disposal of 1,458 shares at $3.49 appears routine and was executed under a pre-established 10b5-1 plan, which typically signals automated, pre-authorized selling rather than ad-hoc insider activity. The post-transaction beneficial ownership of 176,940 shares indicates the officer retains material exposure to the company's equity. This transaction alone is not a material capital event for SERA absent other insider activity or concurrent disclosures.

Corporate Governance Expert

TL;DR: Use of a 10b5-1 plan demonstrates compliance with insider trading rules but reduces insider holdings slightly.

The disclosure explicitly cites a Rule 10b5-1 trading plan adopted May 21, 2025, which helps establish an affirmative defense to insider trading allegations. The filing is signed by an attorney-in-fact, indicating procedural handling by a designated agent. From a governance perspective the transaction is compliant and routine; its investor impact depends on the officer's remaining stake and any pattern of future trades.

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)
09/02/2025

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	09/02/2025		S(1)		1,458	D	$3.49	176,940	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. 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	09/03/2025
	** 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 sell?

The filing reports a sale of 1,458 shares of Class A common stock at $3.49 per share.

When was the insider transaction executed for SERA?

The transaction date reported on the Form 4 is 09/02/2025.

Was the sale by the SERA officer part of a trading plan?

Yes, the Form 4 states the sale was made pursuant to a Rule 10b5-1 trading plan adopted on May 21, 2025.

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

The filing shows 176,940 shares beneficially owned following the reported transaction.

Who signed the Form 4 for the SERA filing?

The Form 4 was signed by an attorney-in-fact on behalf of the reporting person.