Form 4: SERA CIO Sells Shares for Tax Obligations

SERA Prognostics' Chief Information Officer, Robert Gardner Harrison, sold 616 shares of Class A Common Stock at a weighted average price of $3.31 to cover tax withholding obligations related to RSU vesting.

Summary

• Robert Gardner Harrison, Chief Information Officer of SERA Prognostics, Inc. (SERA), reported a transaction on December 10, 2025.
• Harrison sold 616 shares of Class A Common Stock.
• The shares were sold at a weighted average price of $3.31 per share, with individual transaction prices ranging from $3.28 to $3.38.
• The sale was a "sell to cover" transaction, mandated by the issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock units (RSUs).
• This transaction does not represent a discretionary sale by the reporting person.
• Following the transaction, Harrison beneficially owns 86,788 shares of Class A Common Stock directly.

Sentiment

Score: 5

Explanation: The filing reports a routine, non-discretionary 'sell to cover' transaction for tax purposes, which is neutral in sentiment as it does not reflect management's discretionary view on the company's prospects.

Positives

• The transaction was non-discretionary, indicating it was not a voluntary sale based on the officer's market outlook.
• It represents a routine compliance action for tax withholding on RSU vesting, a common practice for equity compensation.

Negatives

• A reduction in direct beneficial ownership by 616 shares, although for a mandated purpose.

Future Outlook

This Form 4 filing does not contain any forward-looking statements or guidance regarding the company's future outlook.

Management Comments

• 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.

Industry Context

This routine insider transaction filing (Form 4) is specific to an individual officer's equity compensation and tax obligations, and does not provide information relevant to broader industry trends or competitive landscape.

Related Party Transactions

• The transaction involves the sale of shares by a Chief Information Officer to cover tax obligations arising from RSU vesting, which is a standard compensation-related event between an executive and the company.

Stakeholder Impact

• Shareholders: Minimal impact as it's a small, non-discretionary sale for tax purposes, not indicative of a change in confidence.
• Employees: No direct impact on employees beyond the reporting person.
• Customers: No direct impact.
• Suppliers: No direct impact.
• Creditors: No direct impact.

Next Steps

• The reporting person will provide full information regarding the number of shares sold at each separate price upon request to the SEC staff, the issuer, or any security holder.

Key Dates

Keywords

SERA Prognostics, SERA, Form 4, Insider transaction, Stock sale, Restricted Stock Units, RSU vesting, Tax withholding, Sell to cover, Robert Gardner Harrison, Chief Information Officer