Anderson Dyaarl Lee Jr. 4

4 · SERA PROGNOSTICS, INC. · Filed Jun 15, 2026

AI-generated summary of this filing

Updated Jun 15, 2026

Sera Prognostics CCO Anderson Lee Sells 4,739 Shares

What Happened

Anderson Dyaarl Lee Jr., Chief Commercial Officer of Sera Prognostics (SERA), disposed of 4,739 shares on 2026-06-11 in an open-market/block sale. The reported weighted-average price was $2.01 per share, for total proceeds of approximately $9,525. This was a sale (routine) tied to tax withholding on vested restricted stock units, not an independent decision to divest.

Key Details

Transaction date: 2026-06-11; Form 4 filed: 2026-06-15 (timely — within two business days).
Reported amount sold: 4,739 shares at a weighted average price of $2.01; total reported proceeds ~$9,525.
Shares owned after the transaction: not provided in the details you supplied.
Footnote F1: Sale was to cover tax withholding obligations on vested RSUs — mandated by issuer’s "sell to cover" election (not a discretionary sale).
Footnote F2: $2.01 is a weighted average; actual trade prices in the block ranged from $1.87 to $2.12. The reporting person can supply a per-price breakdown on request.
Transaction codes: S = Sale; associated with tax-withholding (sell-to-cover) treatment.

Context

Sell-to-cover transactions are common when RSUs vest: the company or insider sells a portion of shares to satisfy withholding taxes and do not necessarily indicate the insider’s view on company prospects.
Because this was a tax-withholding sale (not a voluntary market sell), it carries less informational weight for investors than a discretionary sale or a purchase.

Form 4

Period: 2026-06-11

Chief Commercial 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 $1.87 to $2.12, 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|2026-06-15

1 file