Sera Prognostics holder plans 20K-share sale

Zhenya Lindgardt filed a Rule 144 notice to sell SERA shares mainly to cover tax withholding on vested restricted stock units.

Rhea-AI Filing Summary

Sera Prognostics, Inc. (SERA) received a Rule 144 notice from stockholder Zhenya Lindgardt covering a planned sale of Class A common stock. The notice registers the potential sale of 20,139 shares, with an aggregate market value of $40,290, against total outstanding shares of 39,449,466 as of the notice. The seller states the transaction is to cover tax withholding obligations arising from restricted stock unit vesting and reflects the issuer’s election to satisfy such taxes through sell-to-cover transactions rather than a discretionary share sale.

Key Figures

Shares to be sold: 20,139 shares Aggregate market value of planned sale: $40,290 Shares outstanding: 39,449,466 shares +4 more

7 metrics

Shares to be sold 20,139 shares Planned Rule 144 sale of Sera Prognostics Class A common stock

Aggregate market value of planned sale $40,290 Planned sale of 20,139 shares as of the notice

Shares outstanding 39,449,466 shares Class A common stock outstanding referenced in the Form 144

Shares sold June 9, 2026 20,755 shares Past 3 months SERA Class A common stock sale by Zhenya Lindgardt

Aggregate value June 9, 2026 sale $43,204 Sale of 20,755 shares of Class A common stock

Shares sold June 11, 2026 6,990 shares Past 3 months SERA Class A common stock sale by Zhenya Lindgardt

Aggregate value June 11, 2026 sale $14,016 Sale of 6,990 shares of Class A common stock

Key Terms

Rule 144, restricted stock units, sell to cover

3 terms

Rule 144 regulatory

"See the definition of "person" in paragraph (a) of Rule 144."

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

restricted stock units financial

"in connection with the vesting of restricted stock units."

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

sell to cover financial

"tax withholding obligations to be funded by sell to cover transactions"

Sell to cover is when a person who receives company stock through options or awards sells just enough shares immediately to pay required taxes, exercise costs, or fees, keeping the rest. Think of it like cashing part of a bonus to cover the tax bill so you can keep the remainder. For investors, it can create predictable small selling pressure and slightly change the number of shares actually held by insiders without increasing long‑term dilution.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the Form 144 filing disclose for SERA?

It discloses that stockholder Zhenya Lindgardt filed a Rule 144 notice to sell 20,139 shares of Sera Prognostics Class A common stock, with an aggregate market value of $40,290, on or about September 8, 2026 on NASDAQ.

How many SERA shares are outstanding according to this Form 144?

The notice lists 39,449,466 shares of Sera Prognostics Class A common stock outstanding in connection with the planned Rule 144 sale of 20,139 shares.

Why is Zhenya Lindgardt selling SERA shares under this Form 144?

The remarks state the sale represents shares sold to cover tax withholding obligations from the vesting of restricted stock units and that it is mandated by the issuer’s election to use sell-to-cover transactions, not a discretionary sale by the reporting person.

What SERA share sales has Zhenya Lindgardt made in the past three months?

The filing lists two prior Class A common stock sales: 20,755 shares on June 9, 2026 for an aggregate market value of $43,204, and 6,990 shares on June 11, 2026 for an aggregate market value of $14,016.

Which broker is named for the planned SERA share sale?

The Rule 144 notice identifies Morgan Stanley Smith Barney LLC, located at 1 New York Plaza, New York, as the broker for the planned sale of Sera Prognostics Class A common stock on NASDAQ.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 09/09/2026 - 04:07 PM Accepted by SEC EDGAR 09/09/2026 - 04:05 PM Learn about SEC filing dates

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	0001891299
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	Sera Prognostics, Inc.
SEC File Number	001-40606
Address of Issuer	2749 East Parleys Way Suite 200 Salt Lake City UTAH 84109
Phone	(801)-990-0520
Name of Person for Whose Account the Securities are To Be Sold	Lindgardt Zhenya
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	Officer
Relationship to Issuer	Director

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	20139	40290	39449466	09/08/2026	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	09/08/2026	Restricted Stock Unit Vesting	Issuer			20139	09/08/2026	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	06/09/2026	20755	43204
Zhenya Lindgardt 2749 E. Parleys Way Suite 200 Salt Lake City UT 84109	Class A Common	06/11/2026	6990	14016

144: Remarks and Signature

Remarks	The sale on this form represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by sell to cover transactions and does not represent a discretionary transaction by the Reporting Person.
Date of Notice	09/09/2026
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	/s/ Zhenya Lindgardt
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)