Form 4: SERA CIO Sells Shares for Tax Obligations

SERA Prognostics' Chief Information Officer, Robert Gardner Harrison, sold 6,528 shares of Class A Common Stock to cover tax withholding obligations related to restricted stock unit vesting.

Summary

• Robert Gardner Harrison, Chief Information Officer of SERA Prognostics, Inc. (SERA), reported a transaction involving Class A Common Stock.
• On November 10, 2025, Harrison sold 6,528 shares of Class A Common Stock.
• The shares were sold at a weighted average price of $2.62 per share, with individual transaction prices ranging from $2.30 to $3.04.
• The total value of the shares sold was approximately $17,103.36.
• This sale was mandated by the Issuer's policy to cover tax withholding obligations associated with the vesting of restricted stock units (RSUs) and was not a discretionary transaction by Harrison.
• Following this transaction, Harrison beneficially owns 89,404 shares of Class A Common Stock.

Sentiment

Score: 5

Explanation: The sentiment is neutral. While a sale of shares occurred, it was a non-discretionary transaction to cover tax obligations related to RSU vesting, which is a routine event and does not reflect a change in the executive's or company's outlook.

Positives

• The underlying event, the vesting of restricted stock units (RSUs), represents a positive compensation event for the Chief Information Officer.

Future Outlook

This filing does not contain any forward-looking statements or guidance regarding the company's future performance or outlook.

Management Comments

• The sale of shares was mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by 'sell to cover' transactions, indicating a company policy for handling RSU vesting taxes.

Industry Context

This insider transaction report is specific to an individual executive's stock activity and does not provide broader insights into industry trends or competitive landscape.

Stakeholder Impact

• The primary impact is on the Chief Information Officer, Robert Gardner Harrison, who fulfilled tax obligations related to his compensation.
• For shareholders, the impact is minimal as this is a routine, non-discretionary transaction and does not signal a change in management's confidence in the company.

Key Dates

Recommendation

This Form 4 filing details a routine, non-discretionary 'sell to cover' transaction by a company executive to satisfy tax obligations upon RSU vesting. Such transactions are common and do not typically indicate a change in the company's fundamentals or the executive's long-term view. Therefore, it does not provide sufficient new information to alter an existing investment recommendation, warranting a 'hold' stance.

Keywords

SERA Prognostics, SERA, Form 4, Insider Transaction, Stock Sale, Restricted Stock Units, Tax Withholding, Robert Gardner Harrison, Chief Information Officer