[Form 4] SERA PROGNOSTICS, INC. Insider Trading Activity

Rhea-AI Filing Summary

Director sale to cover RSU taxes: A director, Mirza Mansoor Raza, reported on 10/06/2025 the disposition of 227 shares of Class A common stock via a sell-to-cover transaction to satisfy tax withholding on vested restricted stock units. The reported weighted-average sale price was $3.16, with execution prices ranging from $3.15 to $3.20. After the transaction the reporting person beneficially owned 58,253 shares directly. The filing states the sale was mandated by the issuer's tax-withholding election and was not a discretionary trade by the director.

Positive

• Transaction was sell-to-cover for RSU tax withholding, not a discretionary sale
• Reporting person retains a substantial holding of 58,253 shares after the transaction

Negative

• None.

Insights

Corporate Insider Compliance Analyst

Routine, compliance-driven disposition to cover taxes; not a discretionary sell.

The transaction is presented as a sell-to-cover tied to RSU vesting, meaning the issuer required withholding payment through sale rather than a cash payment. That mechanism typically reduces insider selling signal because shares were sold only to satisfy tax obligations rather than for liquidity or opinion on valuation.

Dependencies and risks include continued vesting schedules and future withholding events; investors can monitor future Form 4s for voluntary sales or additional mandated sell-to-cover events over the next 12 months.

Equity Capital Structure Specialist

Small, immaterial share reduction relative to total holdings; ownership remains substantial.

The director sold 227 shares at a weighted average of $3.16, leaving 58,253 shares held directly. The absolute size of the sale is small versus the remaining position, so the change is unlikely to noticeably affect dilution or voting control.

Watch for any future exercises, large disposals, or plan changes that would alter outstanding common shares or insider ownership within the next year.

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^*

Mirza Mansoor Raza

(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
	Officer (give title below)		Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
10/06/2025

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	10/06/2025		S		227(1)	D	$3.16(2)	58,253	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 in multiple transactions at prices ranging from $3.15 to $3.20, 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.

	/s/ Benjamin G. Jackson, Attorney-in-fact	10/06/2025
	** 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 Mirza Mansoor Raza report on Form 4 for SERA?

He reported the sale of 227 shares on 10/06/2025 as a sell-to-cover transaction tied to RSU tax withholding.

At what price were the shares sold in the Form 4 (SERA)?

The filing shows a weighted-average price of $3.16, with individual trade prices ranging from $3.15 to $3.20.

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

The reporting person beneficially owned 58,253 shares following the reported transaction.

Was the sale a voluntary insider disposal?

No. The filing states the sale was mandated by the issuer's election to satisfy tax withholding on vested RSUs and was not discretionary.

Who signed the Form 4 for this transaction?

The form was signed by Benjamin G. Jackson as attorney-in-fact on 10/06/2025.