SERA PROGNOSTICS, INC. — Director's Dealing 2025

Jan 15, 2025

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: SERA PROGNOSTICS, INC. (SERA)
CIK: 0001534969
Period of Report: 2025-01-10

Reporting Person: Phillips Joshua (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2025-01-10	Class A Common Stock	S	2	$7.18	Disposed	6	Indirect
2025-01-10	Class A Common Stock	S	1	$8.03	Disposed	5	Indirect
2025-01-13	Class A Common Stock	S	3	$6.39	Disposed	2	Indirect
2025-01-14	Class A Common Stock	S	2	$6.29	Disposed	0	Indirect
2025-01-10	Class A Common Stock	S	4896	$7.18	Disposed	12788	Indirect
2025-01-10	Class A Common Stock	S	1674	$8.03	Disposed	11114	Indirect
2025-01-13	Class A Common Stock	S	6287	$6.39	Disposed	4827	Indirect
2025-01-14	Class A Common Stock	S	4827	$6.29	Disposed	0	Indirect
2025-01-10	Class A Common Stock	S	1881	$7.18	Disposed	4872	Indirect
2025-01-10	Class A Common Stock	S	643	$8.03	Disposed	4229	Indirect
2025-01-13	Class A Common Stock	S	2415	$6.39	Disposed	1814	Indirect
2025-01-14	Class A Common Stock	S	1814	$6.29	Disposed	0	Indirect
2025-01-10	Class A Common Stock	S	2692	$7.18	Disposed	7074	Indirect
2025-01-10	Class A Common Stock	S	921	$8.03	Disposed	6153	Indirect
2025-01-13	Class A Common Stock	S	3458	$6.39	Disposed	2695	Indirect
2025-01-14	Class A Common Stock	S	2695	$6.29	Disposed	0	Indirect

Footnotes

F1: The transaction(s) reported on this Form 4 was/were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2024.

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 $7.00 to $7.37, 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 $8.00 to $8.07, 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.

F4: 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 $6.13 to $6.75, 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.

F5: 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 $6.03 to $6.57, 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.

F6: CHV GP LLC is the general partner of CHV LP and Catalyst Health Ventures (PF), L.P. ("CHV PF"). CHV I GP LLC (formerly known as "CHV III GP LLC") is the general partner of CHV Investments LLC ("CHV Investments") and Catalyst Health Ventures Follow-on Fund, L.P. ("CHV FO", together with CHV LP, CHV PF and CHV Investments, the "CHV Funds"). Joshua Phillips, a member of the Issuer's board of directors, is a managing member of CHV GP LLC and CHV I GP LLC, and a limited partner of CHV PF, CHV Investments, CHV GP LLC, and CHV I GP LLC. The securities held by the CHV Funds may be deemed to be beneficially owned by Joshua Phillips. Joshua Phillips disclaims beneficial ownership of these securities except to the extent of his pecuniary benefit therein.