Sera Prognostics counsel sells shares for tax withholding

Sera Prognostics General Counsel Benjamin Jackson reported a sale of 3,119 shares of Class A Common Stock at a weighted average price of $1.96 per share.

Rhea-AI Filing Summary

Sera Prognostics General Counsel Benjamin Jackson reported a sale of 3,119 shares of Class A Common Stock at a weighted average price of $1.96 per share. This reduced his direct holdings to 115,747 shares. The shares were sold to cover tax withholding obligations from vesting restricted stock units under a mandatory “sell to cover” arrangement, meaning the transaction was not discretionary. The block trade was executed at prices ranging from $1.87 to $2.03 per share.

Insider Trade Summary

Net Seller: 3,119 shares

Net Sell 1 txn

Insider Jackson Benjamin

Role General Counsel

Sold 3,119 shs ($6K)

Type	Security	Shares	Price	Value
Sale	Class A Common Stock	3,119	$1.96	$6K

Holdings After Transaction: Class A Common Stock — 115,747 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 Prognostics (SERA) report for Benjamin Jackson?

Sera Prognostics reported that General Counsel Benjamin Jackson sold 3,119 shares of Class A Common Stock. The sale was executed to cover tax withholding obligations arising from vested restricted stock units under a mandatory “sell to cover” arrangement, rather than a discretionary stock sale.

Was Benjamin Jackson’s SERA stock sale a discretionary transaction?

No. The filing states the 3,119 shares were sold to cover tax withholding obligations from vesting RSUs. The issuer required these obligations to be satisfied through “sell to cover” transactions, so the sale did not represent a discretionary trading decision by Jackson.

How many SERA shares does Benjamin Jackson hold after this Form 4 transaction?

After the tax-related sale, Benjamin Jackson directly holds 115,747 shares of Sera Prognostics Class A Common Stock. This figure reflects his position following the 3,119-share block trade executed to fund required tax withholding on his vested restricted stock units.

At what prices were Benjamin Jackson’s SERA shares sold in this Form 4?

The reported weighted average sale price was $1.96 per share. The shares were sold in a block trade across multiple transactions, with individual prices ranging from $1.87 to $2.03 per share, as detailed in the Form 4 footnote disclosure.

Why did Sera Prognostics’ General Counsel execute a sell-to-cover trade?

The sale covered tax withholding obligations triggered by the vesting of restricted stock units. Sera Prognostics elected to satisfy these obligations via mandatory “sell to cover” transactions, so the 3,119-share sale functioned as a tax payment mechanism rather than an elective stock sale.

Does Benjamin Jackson’s Form 4 mention remaining derivative or option positions in SERA stock?

The insider data provided shows no remaining derivative positions in the derivativeSummary section. The filing focuses on the non-derivative Class A Common Stock sale used to fund tax withholding on vested restricted stock units, with no additional derivative transactions reported.

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

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

Jackson Benjamin

(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)
	General Counsel

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		3,119(1)	D	$1.96(2)	115,747	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	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.