Sera Prognostics, Inc. SEC Filings

Form 144 notice for SERA (Sera Prognostics, Inc.) reporting proposed sale of common stock by Robert Gardner Harrison. The filing lists 6,000 shares to be sold through Morgan Stanley Smith Barney LLC with an aggregate market value of $13,500.00 and an approximate sale date of 08/20/2025. The shares were acquired as Restricted Stock Units on 02/06/2024. The issuer's outstanding shares are shown as 37,094,109. The filing also discloses recent sales by the same person: 5,962 shares sold on 08/08/2025 for $15,143.48 and 667 shares sold on 06/10/2025 for $987.16. The notice includes the required representation that the seller is not aware of undisclosed material adverse information about the issuer.

RA Capital Management, L.P., RA Capital Healthcare Fund, L.P., Peter Kolchinsky and Rajeev Shah filed an amended Schedule 13G reporting no beneficial ownership of Sera Prognostics, Inc. (SERA) Class A common stock as of June 30, 2025. The filing lists each reporting person’s citizenship and principal business address and states that each holds 0 shares and 0.0% of the class. The filers expressly disclaim status as a group and certify the securities were not acquired to influence control of the issuer. A joint filing agreement is incorporated by reference.

Sera Prognostics (SERA) reporting person Zhenya Lindgardt, who serves as Chief Executive Officer and Director, reported a mandated sale to satisfy tax withholding on vested restricted stock units. On 08/08/2025 the reporting person sold 8,571 shares in a block trade at a weighted average price of $2.54; individual trade prices ranged from $2.28 to $2.73. The Form states the sale was required by the issuer's election to use "sell to cover" and was not a discretionary transaction by the reporting person.

Following the sale the reporting person beneficially owned 832,294 shares directly. The Form 4 was executed by an attorney-in-fact and filed with the SEC on 08/11/2025. No derivative transactions were reported in this filing.

Insider sale to cover RSU tax withholding. Kearney Paul, Chief Data Officer of Sera Prognostics (SERA), sold 6,460 shares of Class A common stock on 08/08/2025 as a mandated sell-to-cover to satisfy tax withholding associated with RSU vesting. The filing states this was not a discretionary transaction by the reporting person. The block trade produced a weighted-average price of $2.54, with transaction prices ranging from $2.28 to $2.73.

The reporting person continues to directly beneficially own 188,940 shares. The filer notes it will provide a per-price breakdown of the block trade to the SEC or other parties upon request. No derivative transactions were reported in this filing.

Benjamin G. Jackson, General Counsel of Sera Prognostics, reported the sale of 6,447 shares of Class A common stock on 08/08/2025 to satisfy tax withholding on vested restricted stock units. The filing states this was a mandatory "sell-to-cover" transaction and not a discretionary sale. The shares were executed as a block trade at a weighted average price of $2.54, with individual trade prices ranging from $2.28 to $2.73.

Following the sale the reporting person beneficially owns 127,751 shares on a direct basis. No derivative securities were reported. The disclosure documents an administrative, tax-related disposition rather than an elective insider sale.

Robert Gardner, Chief Information Officer and director at Sera Prognostics, sold shares to satisfy tax withholding from restricted stock units. The Form 4 reports a non-discretionary "sell to cover" transaction on 08/08/2025 in which 5,962 Class A common shares were sold as a block at prices ranging from $2.28 to $2.73, with a weighted average price of $2.54. After the sale the reporting person beneficially owns 108,577 shares. The filing states the sale was mandated by the issuer to satisfy tax obligations and that detailed per-price breakdowns for the block trade will be provided on request. No derivative securities were reported.

Sera Prognostics insider disclosure: John J. Boniface, the company's Chief Scientific Officer, reported a non-discretionary sale of restricted stock to satisfy tax-withholding obligations. On 08/08/2025 the reporting person sold 7,094 shares that were withheld upon the vesting of RSUs; the issuer required a "sell-to-cover" to satisfy taxes.

The filing reports a weighted-average sale price of $2.54 (block trades ranged from $2.28 to $2.73) and shows the reporting person beneficially owns 160,888 shares following the transaction. No derivative transactions were reported.

Sera Prognostics insider transaction summary: Austin Aerts, identified as an officer (Chief Financial Officer), transferred 5,800 shares of Class A common stock in a "sell-to-cover" transaction to satisfy tax withholding from the vesting of restricted stock units (RSUs). The reported weighted-average price for the shares sold was $2.54, with execution prices reported in a range from $2.28 to $2.73. After the transaction, the Reporting Person beneficially owned 290,848 shares.

The filing states the sale was mandated by the issuer's election to fund tax withholding and was executed as part of a block trade; the Reporting Person did not exercise discretion over the sale. No derivative transactions are reported.

Sera Prognostics filed a Form 144 reporting a proposed sale under Rule 144 of 8,571 shares of Class A common stock that were acquired through restricted stock unit vesting on 08/08/2025, with an aggregate market value reported at $21,773. The filing lists 38,061,868 shares outstanding and indicates the transaction would be executed through Morgan Stanley Smith Barney LLC on NASDAQ. The same individual, Zhenya Lindgardt, sold 9,406 shares on 05/08/2025, 23,042 on 06/09/2025 and 3,344 on 06/10/2025, producing reported gross proceeds of $22,974, $33,042 and $4,964 respectively. The filer certifies they are not aware of any undisclosed material adverse information.