Aerts Austin 4

4 · SERA PROGNOSTICS, INC. · Filed Mar 12, 2026

AI-generated summary of this filing

Updated Mar 13, 2026

SERA Prognostics CFO Austin Aerts Sells Shares

What Happened

Austin Aerts, Chief Financial Officer of SERA Prognostics (SERA), sold a total of 7,088 shares in two transactions tied to RSU tax withholding. On 2026-03-10 he sold 6,069 shares at a weighted-average price of $1.90 for proceeds of $11,531; on 2026-03-11 he sold 1,019 shares at a weighted-average price of $2.04 for proceeds of $2,079. Total proceeds were about $13,610. These sales were "sell-to-cover" transactions to satisfy tax withholding on vested restricted stock units and were mandated by the issuer (not discretionary trades).

Key Details

Dates and prices:
- 2026-03-10: 6,069 shares sold, weighted-average price $1.90, proceeds $11,531 (block trade prices ranged $1.77–$2.36 per footnote).
- 2026-03-11: 1,019 shares sold, weighted-average price $2.04, proceeds $2,079 (block trade prices ranged $1.90–$2.30 per footnote).
Shares owned after the transactions: not specified in the excerpt of the filing.
Footnotes: F1 notes these were mandatory sell-to-cover transactions for RSU tax withholding; F2 and F3 state the reported prices are weighted averages across block trades and that the reporting person can provide a price-by-price breakdown on request.
Filing timeliness: The Form 4 was filed on 2026-03-12 for transactions on 2026-03-10 and 2026-03-11 — this appears to be a timely filing (Form 4 is due within two business days).

Context

Sell-to-cover transactions are routine tax-related sales when RSUs vest; they are mandated by the issuer's withholding election and do not necessarily reflect the insider's view of the company's outlook. Because these sales were to satisfy tax obligations and were relatively small in dollar amount, they should be interpreted as administrative rather than market sentiment signals.

Form 4

Period: 2026-03-10

Chief Financial Officer

Transactions

Sale
Class A Common Stock
[F1][F2]
2026-03-10$1.90/sh−6,069$11,531→ 265,471 total
Sale
Class A Common Stock
[F1][F3]
2026-03-11$2.04/sh−1,019$2,079→ 264,452 total

Footnotes (3)

[F1]Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs"). 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.
[F2]The price reported is a weighted average price. These shares were sold as part of a block trade in multiple transactions at prices ranging from $1.77 to $2.36, 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 with regard to the block trade.
[F3]The price reported is a weighted average price. These shares were sold as part of a block trade in multiple transactions at prices ranging from $1.90 to $2.30, 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 with regard to the block trade.

Signature

/s/ Benjamin G. Jackson, Attorney-in-fact|2026-03-12

1 file