[144] Sera Prognostics, Inc. SEC Filing

Rhea-AI Filing Summary

Sera Prognostics insider Paul Kearney filed a Form 144 to sell 6,460 Class A common shares of SERA, representing an aggregate market value of $16,410. The securities were acquired by restricted stock unit vesting on 08/08/2025 and the proposed sale is also dated 08/08/2025. The sale is to be executed through Morgan Stanley Smith Barney. The filing reports 38,061,868 shares outstanding for the issuer, giving context to the size of this sale.

The form also discloses two recent sales by the same person: 7,089 shares on 05/08/2025 (gross proceeds $17,315) and 1,311 shares on 06/10/2025 (gross proceeds $1,946). The notice includes the standard insider representation that no undisclosed material adverse information is known to the seller.

Insights

Financial Analyst

TL;DR: Insider sale of 6,460 SERA shares is disclosed; size is immaterial relative to total shares outstanding.

The Form 144 shows Paul Kearney intends to sell 6,460 Class A shares with an aggregate value of $16,410, acquired via RSU vesting on the same date as the proposed sale. Compared with the issuer's 38,061,868 outstanding shares, this represents a negligible fraction of equity. Two prior small sales in May and June are also reported. From a financial-impact perspective, this filing is routine and unlikely to move valuation metrics or market perception materially.

Corporate Governance Expert

TL;DR: Filing documents compliant insider sale activity; disclosure meets Rule 144 requirements and includes required seller representations.

The notice identifies the broker and shows the securities were acquired through restricted stock unit vesting, with sale execution via a registered broker-dealer, which aligns with standard compliance practice. The seller attests there is no undisclosed material adverse information. Given the small size of the transaction and prior recent disposals, this filing appears to be routine insider liquidity rather than a governance red flag.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Class A Common	Morgan Stanley Smith Barney LLC 1 New York Plaza 38th Floor New York NY 10004	6460	16410	38061868	08/08/2025	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Class A Common	08/08/2025	Restricted Stock Unit Vesting	Issuer			6460	08/08/2025	Not Applicable

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
Paul Kearney 2749 E. Parleys Way Suite 200 Salt Lake City UT 84109	Class A Common	05/08/2025	7089	17315
Paul Kearney 2749 E. Parleys Way Suite 200 Salt Lake City UT 84109	Class A Common	06/10/2025	1311	1946

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does the SERA Form 144 filed by Paul Kearney report?

The filing reports a proposed sale of 6,460 Class A common shares of Sera Prognostics by Paul Kearney, with an aggregate market value of $16,410.

When were the shares acquired and when is the proposed sale date in the Form 144?

The shares were acquired by restricted stock unit vesting on 08/08/2025, and the proposed sale date is also 08/08/2025.

Through which broker will the SERA shares be sold?

The filing identifies Morgan Stanley Smith Barney as the broker-dealer to execute the sale.

Has the filer sold SERA shares recently prior to this Form 144?

Yes. The filing discloses prior sales of 7,089 shares on 05/08/2025 (gross proceeds $17,315) and 1,311 shares on 06/10/2025 (gross proceeds $1,946).

How large is this sale compared with Sera Prognostics' outstanding shares?

The issuer has 38,061,868 shares outstanding, so the 6,460-share notice represents a very small fraction of total shares.