[144] Sera Prognostics, Inc. SEC Filing

Rhea-AI Filing Summary

Sera Prognostics insider sale notice (Form 144). The filing reports a proposed sale of 21,158 Class A common shares through Morgan Stanley Smith Barney on 09/09/2025 on NASDAQ, with an aggregate market value listed as $66,572 and total shares outstanding of 38,061,868. The shares were acquired by restricted stock unit vesting and recorded as acquired and to be paid on 09/09/2025. The filer also disclosed sales during the past three months totaling 35,957 shares on 06/09/2025, 06/10/2025, and 08/08/2025 with gross proceeds shown for each sale. The notice includes the standard representation that the seller is not aware of undisclosed material adverse information.

Positive

• Regulatory compliance: The filer provided required Rule 144 details including broker, share counts, acquisition method, and recent sales.
• Clarity on acquisition: Securities to be sold were acquired via restricted stock unit vesting, clearly stated with dates.

Negative

• None.

Insights

Financial Analyst

TL;DR: Small insider sale disclosed; amount is immaterial relative to outstanding shares, so market impact appears limited.

The filing documents a proposed sale of 21,158 Class A shares and prior recent sales totaling 35,957 shares. Versus 38.06 million shares outstanding, these transactions represent a very small fraction of the float (~0.09% combined). The shares to be sold were acquired via restricted stock unit vesting, indicating compensation-related origin rather than open-market purchase. From a financial-materiality perspective, these disclosures fulfill regulatory requirements but are unlikely to materially affect company valuation or liquidity.

Corporate Governance Expert

TL;DR: Filing meets Rule 144 disclosure norms; provides necessary timeline and broker information for compliance.

The Form 144 supplies required details: broker name and address, share counts, acquisition date and nature (restricted stock unit vesting), and recent sale history. The filer attests to lack of undisclosed material adverse information, and the notice includes the standard criminal-misstatement warning. For governance and compliance review, the document appears complete for a Rule 144 sale notice; there is no indication within the filing of any governance or disclosure breach.

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

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	21158	66572	38061868	09/09/2025	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	09/09/2025	Restricted Stock Unit Vesting	Issuer			21158	09/09/2025	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
Zhenya Lindgardt 2749 E. Parleys Way Suite 200 Salt Lake City UT 84109	Class A Common	06/09/2025	23042	33042
Zhenya Lindgardt 2749 E. Parleys Way Suite 200 Salt Lake City UT 84109	Class A Common	06/10/2025	3344	4964
Zhenya Lindgardt 2749 E. Parleys Way Suite 200 Salt Lake City UT 84109	Class A Common	08/08/2025	8571	21773

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 report?

The filing reports a proposed sale of 21,158 Class A common shares on 09/09/2025 through Morgan Stanley Smith Barney with an aggregate market value of $66,572.

How many SERA shares were outstanding per the filing?

The filing lists 38,061,868 shares outstanding.

What was the acquisition method for the shares to be sold?

The shares were acquired via Restricted Stock Unit Vesting on 09/09/2025.

Were there other SERA insider sales recently disclosed?

Yes. The filer disclosed sales of 23,042 shares on 06/09/2025, 3,344 shares on 06/10/2025, and 8,571 shares on 08/08/2025.

On which exchange will the SERA shares be sold?

The proposed sale is listed for NASDAQ.