Sera Prognostics (NASDAQ: SERA) counsel adds 5,000 ESPP shares in Form 4 filing

Rhea-AI Filing Summary

Sera Prognostics General Counsel Benjamin Jackson acquired additional company stock through an employee plan. On May 29, Jackson acquired 5,000 shares of Class A common stock at $1.84 per share under Sera Prognostics’ 2021 Employee Stock Purchase Plan for the purchase period from December 1, 2025 to May 29, 2026. Following this acquisition, he directly holds 163,935 shares. The transaction is classified as a grant or award-type acquisition and is exempt under Rule 16b-3(d) and Rule 16b-3(c), indicating it is a routine, compensation-related purchase rather than a discretionary open-market trade.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Jackson Benjamin

Role General Counsel

Type	Security	Shares	Price	Value
Grant/Award	Class A Common Stock	5,000	$1.84	$9K

Holdings After Transaction: Class A Common Stock — 163,935 shares (Direct, null)

Footnotes (1)

1. [object Object]

Key Figures

Shares acquired: 5,000 shares Purchase price: $1.84 per share Total holdings after transaction: 163,935 shares +1 more

4 metrics

Shares acquired 5,000 shares Class A Common Stock acquired on May 29, 2026

Purchase price $1.84 per share Shares bought under 2021 Employee Stock Purchase Plan

Total holdings after transaction 163,935 shares Directly held Class A Common Stock after acquisition

ESPP purchase period Dec 1, 2025 to May 29, 2026 Employee Stock Purchase Plan purchase window

Key Terms

Employee Stock Purchase Plan, ESPP, Rule 16b-3(d), Rule 16b-3(c)

4 terms

Employee Stock Purchase Plan financial

"These shares were purchased pursuant to the Sera Prognostics, Inc. 2021 Employee Stock Purchase Plan ("ESPP")"

An employee stock purchase plan is a company program that lets workers buy shares through small payroll deductions, often at a discount to the market price and after a set offering period. Think of it like a workplace savings plan that turns into ownership: it encourages employees to share in the company’s success and can create predictable buying or selling of stock that investors watch because it affects supply, demand and employee incentives.

ESPP financial

"2021 Employee Stock Purchase Plan ("ESPP"), for the purchase period of December 1, 2025 to May 29, 2026"

An Employee Stock Purchase Plan (ESPP) is a company program that lets employees buy the company’s shares at a reduced price, usually by setting aside a small portion of their pay over time. It matters to investors because it encourages employees to own part of the business—like giving staff a discounted membership— which can boost commitment and performance, while also potentially increasing the number of shares available and affecting shareholder value.

Rule 16b-3(d) regulatory

"and were exempt under both Rule 16b-3(d) and Rule 16b-3(c)"

Rule 16b-3(d) is a narrow SEC safe-harbor that shields company insiders (officers, directors and large shareholders) from liability for short‑swing profits when their buys or sells of company stock are made under a pre-established, written plan or contract that removes the insider’s ability to time trades. For investors, this matters because it permits predictable, automated insider transactions — like scheduled sales for diversification or payroll withholding — without triggering forced disgorgement, so such planned trades are treated differently from opportunistic insider trading.

Rule 16b-3(c) regulatory

"and were exempt under both Rule 16b-3(d) and Rule 16b-3(c)"

An SEC rule that lets corporate insiders avoid automatic "short‑swing" profit recovery when they buy or sell their company’s stock under a pre‑approved, written plan that meets specific conditions. For investors, it matters because it clarifies when insider trades are treated as routine, reducing legal uncertainty and helping distinguish trades made for ordinary compensation or pre‑planned reasons from those that might signal opportunistic or timely insider advantage.

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Form 4 Insider Transactions: What Each Field Means →

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 UTAH 84109

(City) (State) (Zip)

UNITED STATES

(Country)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/29/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

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	05/29/2026		A(1)		5,000	A	$1.84	163,935	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. These shares were purchased pursuant to the Sera Prognostics, Inc. 2021 Employee Stock Purchase Plan ("ESPP"), for the purchase period of December 1, 2025 to May 29, 2026, and were exempt under both Rule 16b-3(d) and Rule 16b-3(c).

	/s/ Benjamin G. Jackson	06/01/2026
	** 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.
* Form 4: SEC 1474 (03-26)

FAQ

What insider transaction did SERA General Counsel Benjamin Jackson report?

Benjamin Jackson reported acquiring 5,000 shares of Sera Prognostics Class A common stock. The shares were obtained through the company’s 2021 Employee Stock Purchase Plan as part of a scheduled purchase period, rather than a one-time open-market trade.

At what price did Benjamin Jackson acquire SERA shares in this Form 4?

He acquired the shares at $1.84 per share. The purchase occurred through the 2021 Employee Stock Purchase Plan, reflecting a routine compensation-related acquisition rather than a negotiated market transaction at a variable price.

How many SERA shares does Benjamin Jackson own after this transaction?

After the acquisition, Jackson directly holds 163,935 shares of Sera Prognostics Class A common stock. This updated total reflects the addition of 5,000 shares acquired through the company’s 2021 Employee Stock Purchase Plan during the recent purchase period.

Was Benjamin Jackson’s SERA share acquisition part of an employee stock purchase plan?

Yes. The 5,000 shares were purchased under Sera Prognostics’ 2021 Employee Stock Purchase Plan for the purchase period from December 1, 2025 to May 29, 2026, indicating an ongoing, scheduled participation in the plan.

How is Benjamin Jackson’s SERA stock transaction classified for regulatory purposes?

The transaction is coded as an acquisition under Form 4 rules and described as a grant or award-type acquisition. It is exempt under Rule 16b-3(d) and Rule 16b-3(c), which cover certain employee benefit and compensation-related transactions.

Does this SERA Form 4 indicate any stock sales by Benjamin Jackson?

No. The filing shows only an acquisition of 5,000 shares and no dispositions. Transaction summary data reflects one acquisition transaction and zero sales, emphasizing a net increase in his directly held Sera Prognostics shares.