Sera Prognostics (SERA) CIO Gardner sells 2,000 shares under 10b5-1 plan

Rhea-AI Filing Summary

Sera Prognostics, Inc. insider Harrison Robert Gardner, the company’s Chief Information Officer, reported selling 2,000 shares of Class A common stock on January 27, 2026 at a reported price of $2.97 per share. After this transaction, he beneficially owned 82,788 shares directly.

The sale was carried out under a pre-established Rule 10b5-1 trading plan that Gardner adopted on May 21, 2025. The filing notes the reported price is a weighted average, with individual trades executed between $2.92 and $3.06 per share.

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

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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^*

Harrison Robert Gardner

(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 Information Officer

3. Date of Earliest Transaction (Month/Day/Year)
01/27/2026

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	01/27/2026		S(1)		2,000	D	$2.97(2)	82,788	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.

2. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.92 to $3.06, 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	01/27/2026
	** 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.

FAQ

What did SERA insider Harrison Robert Gardner report on this Form 4?

Harrison Robert Gardner, Chief Information Officer of Sera Prognostics, reported selling 2,000 shares of Class A common stock on January 27, 2026 at a reported price of $2.97 per share, leaving him with 82,788 shares beneficially owned directly afterward.

How many SERA shares did Harrison Robert Gardner sell and at what price?

He sold 2,000 shares of Sera Prognostics Class A common stock at a reported weighted average price of $2.97 per share. The filing explains the actual sale prices ranged from $2.92 to $3.06 per share across multiple transactions executed that day.

How many SERA shares does Harrison Robert Gardner own after this transaction?

After the reported sale, Harrison Robert Gardner beneficially owned 82,788 shares of Sera Prognostics Class A common stock. The filing indicates these shares are held as a direct ownership position, reflecting his updated holdings following the January 27, 2026 transaction.

Was the SERA insider sale made under a Rule 10b5-1 trading plan?

Yes. The filing states the transaction was effected under a Rule 10b5-1 trading plan adopted by Harrison Robert Gardner on May 21, 2025. Such plans allow pre-arranged trading, helping insiders systematically sell shares according to predetermined instructions.

What price range did the SERA shares trade at in Gardner’s reported sale?

The filing describes the reported $2.97 per share as a weighted average price. Individual trades were executed in multiple transactions at prices ranging from $2.92 to $3.06 per share, inclusive, on January 27, 2026 under Gardner’s Rule 10b5-1 trading plan.

What role does Harrison Robert Gardner hold at Sera Prognostics (SERA)?

Harrison Robert Gardner is identified as an officer of Sera Prognostics, serving as Chief Information Officer. The Form 4 lists him as a reporting person in that capacity, with the January 27, 2026 transaction affecting his directly held Class A common stock holdings.