Harrison Robert Gardner 4

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

AI-generated summary of this filing

Updated Mar 13, 2026

SERA Prognostics CIO Robert Gardner Sells 716 Shares

What Happened

Robert Gardner, Chief Information Officer of SERA Prognostics, sold 716 shares on 2026-03-11 at a weighted average price of $2.04, generating roughly $1,461 in proceeds. The filing reports the sale as a disposition (code S).

Key Details

Transaction date: 2026-03-11; SEC filing date: 2026-03-12 (timely).
Price: weighted average $2.04; block trade prices ranged $1.90–$2.30 (per footnote).
Total proceeds: approximately $1,461.
Shares owned after the transaction: not disclosed in this filing.
Footnote F1: Sale was a mandatory "sell to cover" to satisfy tax withholding tied to RSU vesting — not a discretionary sale by the insider.
Footnote F2: Reported price is a weighted average from a block trade; the reporting person can provide per-price breakdown on request.

Context

"Sell-to-cover" transactions are routine when restricted stock units vest and taxes are due; they generally reflect tax obligations rather than a judgment about the company's prospects. Purchases by insiders tend to be more informative about confidence than obligatory sales.

Form 4

Period: 2026-03-11

Chief Information Officer

Transactions

Footnotes (2)

[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 $1.90 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