0001534969-24-000064.txt : 20240326 0001534969-24-000064.hdr.sgml : 20240326 20240326200005 ACCESSION NUMBER: 0001534969-24-000064 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240326 FILED AS OF DATE: 20240326 DATE AS OF CHANGE: 20240326 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Aerts Austin CENTRAL INDEX KEY: 0001979974 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40606 FILM NUMBER: 24785401 MAIL ADDRESS: STREET 1: 2479 EAST PARLEYS WAY STREET 2: SUITE 200 CITY: SALT LAKE CITY STATE: UT ZIP: 84109 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SERA PROGNOSTICS, INC. CENTRAL INDEX KEY: 0001534969 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MEDICAL LABORATORIES [8071] ORGANIZATION NAME: 08 Industrial Applications and Services IRS NUMBER: 261911522 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2749 E. PARLEYS WAY STREET 2: SUITE 200 CITY: SALT LAKE CITY STATE: UT ZIP: 84109 BUSINESS PHONE: (801) 990-0520 MAIL ADDRESS: STREET 1: 2749 E. PARLEYS WAY STREET 2: SUITE 200 CITY: SALT LAKE CITY STATE: UT ZIP: 84109 4 1 wk-form4_1711497592.xml FORM 4 X0508 4 2024-03-26 0 0001534969 SERA PROGNOSTICS, INC. SERA 0001979974 Aerts Austin C/O SERA PROGNOSTICS, INC. 2749 EAST PARLEYS WAY, SUITE 200 SALT LAKE CITY UT 84109 0 1 0 0 Chief Financial Officer 0 Class A Common Stock 2024-03-26 4 S 0 8092 9.37 D 322488 D 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. 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 $8.78 to $9.86, 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. /s/ Benjamin G. Jackson, Attorney-in-fact 2024-03-26