Welcome to our dedicated page for Sera Prognostics SEC filings (Ticker: SERA), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
This page provides access to U.S. Securities and Exchange Commission (SEC) filings for Sera Prognostics, Inc. (NASDAQ: SERA), a Salt Lake City–based health diagnostics company focused on precision pregnancy care and preterm birth risk prediction. As a public company, Sera files annual, quarterly, and current reports that describe its financial condition, operations, and key clinical and commercial developments.
Investors can review annual reports on Form 10-K and quarterly reports on Form 10-Q for detailed discussions of Sera’s business, including its focus on the PreTRM® Test, a blood-based biomarker test for individualized risk prediction of spontaneous preterm birth in asymptomatic singleton pregnancies. These filings typically include information on revenues, operating expenses, research and development activities, and risk factors relevant to the company’s diagnostics business.
Current reports on Form 8-K document material events such as the release of quarterly financial results and significant clinical milestones. Recent 8-K filings reference press releases announcing second and third quarter financial results and the acceptance of the PRIME study for publication in a peer-reviewed journal. These filings help readers track how clinical evidence, such as the PRIME randomized controlled trial, connects to Sera’s commercial and strategic plans.
Users can also monitor Form 4 and other insider transaction filings, when available, to see reported trades by directors, officers, or significant shareholders. Stock Titan’s tools surface new SERA filings as they appear in the SEC’s EDGAR system and provide AI-powered summaries to explain key points, highlight important sections in lengthy documents, and make it easier to understand how disclosures about the PreTRM Test, payer engagement, and financial performance may relate to the company’s overall trajectory.
SERA PROGNOSTICS, INC. Chief Information Officer Harrison Robert Gardner reported an open-market sale of 2,000 shares of Class A Common Stock. The shares were sold at a weighted average price of $2.34 per share, in transactions ranging from $2.23 to $2.45. After this sale, Gardner directly holds 80,788 shares of Sera Prognostics common stock. The transaction was carried out under a pre-established Rule 10b5-1 trading plan adopted by the reporting person on May 21, 2025, which is designed to systematically execute trades according to preset instructions.
Robert Harrison filed a Form 144 reporting a proposed sale of 2,000 Common shares (listed as Restricted Stock Units) through Morgan Stanley Smith Barney LLC. The filing also lists recent 10b5-1 sales: 2,000 shares on
Sera Prognostics, Inc. director Kim P. Kamdar reported a restructuring of her holdings through a pro rata distribution by Domain Associates, LLC. Domain Associates distributed 30,920 shares of Class A common stock it held for her indirect benefit, for no consideration, reducing her indirect holdings to zero. As part of the same distribution, Kamdar received 3,231 shares of Class A common stock directly, also for no consideration, bringing her directly held stake to 32,573 shares. The transactions are coded as “J,” reflecting the internal reallocation and not a market purchase or sale.
Sera Prognostics, Inc. insider Harrison Robert Gardner, the company’s Chief Information Officer, reported selling 2,000 shares of Class A common stock on January 27, 2026 at a reported price of $2.97 per share. After this transaction, he beneficially owned 82,788 shares directly.
The sale was carried out under a pre-established Rule 10b5-1 trading plan that Gardner adopted on May 21, 2025. The filing notes the reported price is a weighted average, with individual trades executed between $2.92 and $3.06 per share.
A holder of Common stock has filed a notice of proposed sale of 2,000 shares, with an aggregate market value of $6,180.00, through Morgan Stanley Smith Barney LLC Executive Financial Services on or about 01/27/2026 on the NASDAQ. The issuer has 37,627,034 shares of this class outstanding. The shares to be sold were acquired as Restricted Stock Units from the issuer on 02/06/2024, in an amount of 2,000 shares.
Over the prior three months, the same account reported several sales of the issuer’s common stock, including 2,000 shares for $6,002.60 on 12/30/2025, 616 shares for $2,038.96 on 12/10/2025, 2,000 shares for $5,862.80 on 12/02/2025, 6,528 shares for $17,103.36 on 11/10/2025, and 2,000 shares for $6,141.00 on 11/04/2025, some of which are identified as 10b5-1 sales.
Sera Prognostics, Inc. received an updated large shareholder report showing that Whetstone Capital Advisors, LLC and David Atterbury together beneficially own 3,459,713 shares of its Class A common stock, representing 9.2% of the class. The filing states that the reporting persons share voting and dispositive power over these shares. They also certify that the securities were not acquired and are not held for the purpose of changing or influencing control of Sera Prognostics, but instead are reported on a passive basis under Schedule 13G/A.
Sera Prognostics, Inc. filed a current report to note that it has posted a new investor presentation on its corporate website as of January 8, 2026. The presentation is included as Exhibit 99.1 to the report and is incorporated by reference for informational purposes. The company specifies that this material is being furnished under Regulation FD and is not deemed filed for liability purposes under the Exchange Act or automatically incorporated into other securities filings.
Sera Prognostics, Inc. filed a current report to highlight a communication event rather than a financial update. On January 7, 2026, the company issued a press release announcing publication of the results of its Prematurity Risk Assessment Combined With Clinical Interventions for Improving Neonatal outcoMEs (PRIME) study in the Pregnancy Journal.
The newly published PRIME study results are scheduled to be discussed during a Jefferies-hosted fireside chat on January 9, 2026, at 8:30 am ET. The press release is furnished as Exhibit 99.1 and, along with the related disclosure under Item 7.01, is treated as "furnished" rather than "filed" for liability purposes under the Exchange Act.
Sera Prognostics, Inc. reported that its Chief Data Officer sold 1,213 shares of Class A common stock on 12/10/2025 at a weighted average price of $3.31 per share. These shares were sold solely to cover tax withholding obligations triggered by the vesting of restricted stock units, under the company's mandated "sell to cover" election, so the transaction was not discretionary. Following this sale, the officer beneficially owned 167,383 shares of Class A common stock directly.
Sera Prognostics, Inc. reported that its Chief Information Officer, an officer of the company, sold 616 shares of Class A common stock on 12/10/2025 at a weighted average price of $3.31.
According to the disclosure, the shares were sold to cover tax withholding obligations arising from the vesting of restricted stock units under a sale structure mandated by the company’s sell-to-cover election, and the transaction is not discretionary for the officer. Following this sale, the officer beneficially owns 86,788 shares directly.