Form 4: Sera Prognostics CEO Zhenya Lindgardt Reports Stock Transactions
SEC Form 4 Filing
CEO Zhenya Lindgardt reports acquisition and disposal of Sera Prognostics stock and stock options related to RSU vesting and tax obligations.
Summary
- On March 6, 2025, Zhenya Lindgardt, CEO of Sera Prognostics, acquired 126,920 Class A Common Stock shares represented by restricted stock units (RSUs) at $0.
- Following this acquisition, Lindgardt directly owned 906,379 shares.
- On March 7, 2025, Lindgardt sold 29,722 Class A Common Stock shares at an average price of $4.12, resulting in direct ownership of 876,657 shares.
- The sale was to cover tax withholding obligations related to the vesting of RSUs, as mandated by the issuer's 'sell to cover' policy.
- On March 6, 2025, Lindgardt also acquired 181,380 stock options with an exercise price of $4.15, exercisable starting March 10, 2025, and expiring on March 6, 2035.
- Following this transaction, Lindgardt directly owns 181,380 derivative securities.
Sentiment
Score: 5
Explanation: The sentiment is neutral as the filing primarily reports routine stock transactions related to executive compensation and tax obligations.
Industry Context
This filing is a routine disclosure of insider transactions, which are common in publicly traded companies. It reflects the CEO's compensation structure and compliance with SEC regulations.
Stakeholder Impact
- The transactions may have a minor impact on shareholders due to the sale of shares to cover tax obligations.
Key Dates
| Date | Description |
|---|---|
| 03/06/2025 | Acquisition of 126,920 Class A Common Stock shares via RSU and acquisition of 181,380 stock options. |
| 03/07/2025 | Sale of 29,722 Class A Common Stock shares to cover tax obligations. |
| 03/10/2025 | RSU and stock option vesting commencement date. |
| 03/06/2035 | Expiration date of stock options. |
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