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.
Sera Prognostics, Inc. filings document a public women's health diagnostics company focused on pregnancy biomarker information and the PreTRM® Test. Recent 8-K reports furnish quarterly and annual financial results, business highlights, investor presentations and Regulation FD disclosures tied to PRIME study publications and PreTRM clinical evidence.
Its proxy materials describe annual meeting matters, corporate governance, shareholder voting items, strategic priorities, capital allocation and commercial progress. The filing record also covers securities-law treatment of furnished press releases and exhibits related to results, clinical data and market-adoption updates.
Aberdeen Group plc and its subsidiary abrdn Inc. report beneficial ownership of 2,753,525 shares of Sera Prognostics, Inc. Class A common stock, representing 7.21% of that class as of June 30, 2026.
Both entities have shared voting and dispositive power over all reported shares, with no sole voting or dispositive power. abrdn Inc. holds the position on behalf of underlying clients through a parent holding company structure involving Aberdeen Group plc and abrdn Holdings Limited.
Phillips Joshua reported acquisition or exercise transactions in this Form 4 filing.
Sera Prognostics director Joshua Phillips received equity compensation awards on July 10, 2026. He was granted RSUs covering 2,260 and 22,426 Class A shares that vest on the earlier of July 10, 2027 or the next annual meeting, plus stock options for 3,477 and 34,494 shares at $1.97, vesting monthly over one year and expiring July 10, 2036, all contingent on continued service.
Sera Prognostics, Inc. director Mirza Mansoor Raza reported equity awards dated July 10, 2026. He received RSU grants representing 1,771 and 22,426 shares of Class A common stock under the company’s non‑employee director compensation arrangements and equity plan.
He was also granted stock options for 2,725 and 34,494 shares at an exercise price of $1.97 per share, expiring July 10, 2036. The RSUs and options vest based on continued service, with vesting tied to the earlier of specific future dates or the next annual meeting. No sales were reported.
Sera Prognostics director Sandra AJ Lawrence reported new equity compensation grants. On July 10, 2026 she received 2,276 and 22,426 Class A RSU awards plus stock options for 3,501 and 34,494 shares at an exercise price of $1.97, expiring July 10, 2036. The RSUs vest on the earlier of July 10, 2027 or the next Annual Meeting of Stockholders, and the options vest in monthly installments over one year, in each case subject to her continued service; no open-market purchases or sales were reported.
Sera Prognostics director Kim P. Kamdar received equity compensation awards on July 10, 2026. Kamdar was granted 3,421 and 22,426 RSU-linked shares of Class A Common Stock at no cost, vesting on the earlier of July 10, 2027 or the next Annual Meeting of Stockholders, contingent on continued service. Kamdar also received stock options for 5,263 and 34,494 shares at an exercise price of 1.9700 per share, expiring July 10, 2036 and vesting in monthly installments over one year, with full vesting on the earlier of the first anniversary or the next Annual Meeting, subject to continued service.
Sera Prognostics director Gregory C. Critchfield received new equity awards on 2026-07-10. He was granted 1594.0000 and 22426.0000 Class A shares in the form of restricted stock units that vest on the earlier of 2027-07-10 or the next Annual Meeting of Stockholders, subject to continued service.
He also received stock options for 2452.0000 and 34494.0000 shares of Class A Common Stock at a 1.9700 per-share exercise price, vesting in 1/12 monthly installments over one year and expiring on 2036-07-10.
Sera Prognostics director Mark Christopher Capone received equity compensation on July 10, 2026: RSU awards for 1,975 shares vesting in three annual installments from July 10, 2027, and 42,404 RSUs vesting on the earlier of July 10, 2027 or the next Annual Meeting. He also received stock options for 3,037 and 62,766 shares at a $1.97 exercise price, vesting monthly over three years and one year, respectively, with all vesting contingent on continued service.
Sera Prognostics director Jane F. Barlow received equity compensation on July 10, 2026. She was granted 1,949 and 22,426 RSUs and stock options for 2,998 and 34,494 shares at a $1.97 exercise price, with vesting tied to continued board service and the next Annual Meeting of Stockholders.
Sera Prognostics, Inc. director Mark Christopher Capone filed an initial Form 3 reporting beneficial ownership. This filing lists him as a director and not a ten percent owner, and shows no reported transactions or share holdings in this Form 3.
Sera Prognostics appointed Mark Capone to its Board of Directors as a Class II director, effective July 1, 2026, with a term running until the 2029 annual meeting. He will also serve on the Compensation Committee.
Capone is a veteran healthcare executive with over 40 years of experience in diagnostics and life sciences, including a 17-year tenure at Myriad Genetics where he helped grow the business significantly. As a non-employee director, he will receive an initial equity award on July 10, 2026, equal to the lesser of a grant-date fair value of $167,072 (split roughly evenly between stock options and RSUs) or 150,000 option equivalents, plus ongoing cash fees under the existing director compensation policy.
After each annual meeting, he is eligible for additional equity of the lesser of $88,359 or 75,000 option equivalents, with RSUs and options vesting over one year. The Board determined he qualifies as an independent director under Nasdaq and SEC rules.