[144] Sera Prognostics, Inc. SEC Filing

Rhea-AI Filing Summary

Form 144 Notice for Sera Prognostics, Inc. (SERA) discloses a proposed sale of 2,000 common shares through Morgan Stanley Smith Barney with an aggregate market value of $6,340.00, scheduled approximately for 09/09/2025 on NASDAQ. The shares were acquired as Restricted Stock Units on 02/06/2024 and fully paid on that date. The filing also reports three share dispositions by the same person in the past three months: 6,000 shares on 08/20/2025 (gross proceeds $13,290.00), 5,962 shares on 08/08/2025 (gross proceeds $15,143.48), and 667 shares on 06/10/2025 (gross proceeds $987.16). Several filer and issuer contact fields in the notice are blank in the provided text.

Positive

• Disclosure of a proposed sale of 2,000 shares with broker and exchange specified (Morgan Stanley Smith Barney; NASDAQ).
• Clear record of acquisition details showing the shares were Restricted Stock Units acquired and paid on 02/06/2024.
• Three recent dispositions are reported with dates and gross proceeds, improving transaction transparency.

Negative

• Several filer and issuer contact fields in the provided extract are blank or not provided.
• The filing does not state ownership percentage or remaining holdings, limiting assessment of ownership impact.

Insights

Securities Compliance Analyst

TL;DR: Insider filing reports a planned sale of 2,000 RSU shares and multiple recent dispositions under a 10b5-1 plan.

The Form 144 documents a routine proposed sale of 2,000 common shares acquired as Restricted Stock Units on 02/06/2024, to be executed via Morgan Stanley Smith Barney. The filing also itemizes three recent sales in the prior three months, including sales executed under a 10b5-1 plan on 08/20/2025. From a compliance perspective, the notice contains the required sale details (class, amount, broker, approximate date) but omits several filer and issuer contact entries in the provided extract. The representation regarding lack of undisclosed material information is included as required.

Insider Transactions Analyst

TL;DR: Multiple insider sales were reported recently; the current notice is consistent with routine equity compensation monetization.

The securities to be sold were RSUs granted and vested on 02/06/2024, with the proposed sale sized at 2,000 shares. The reported recent dispositions total 12,629 shares across three dates, with gross proceeds reported for each sale. The filing does not provide percentage ownership or other holdings, so assessment of the transactions' impact on ownership concentration or potential signaling is limited to the absolute amounts disclosed.

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
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	2000	6340.00	37094109	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 *
Common	02/06/2024	Restricted Stock Units	Issuer			2000	02/06/2024	N/A

* 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
10b5-1 Sales for ROBERT GARDNER HARRISON 2749 East Parleys Way, Suite 200 Salt Lake City UT 84109	Common	08/20/2025	6000	13290.00
ROBERT GARDNER HARRISON 2749 East Parleys Way, Suite 200 Salt Lake City UT 84109	Common	08/08/2025	5962	15143.48
ROBERT GARDNER HARRISON 2749 East Parleys Way, Suite 200 Salt Lake City UT 84109	Common	06/10/2025	667	987.16

144: Remarks and Signature

Remarks

Date of Notice

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

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 Form 144 for SERA report?

The Form 144 reports a proposed sale of 2,000 common shares (RSUs) to be sold ~09/09/2025 via Morgan Stanley Smith Barney on NASDAQ.

When were the shares to be sold by the SERA insider acquired?

The shares were acquired as Restricted Stock Units on 02/06/2024 and payment was recorded on the same date.

Has the insider recently sold SERA shares?

Yes; the filing lists sales of 6,000 shares on 08/20/2025, 5,962 shares on 08/08/2025, and 667 shares on 06/10/2025 with reported gross proceeds.

Which broker is handling the proposed sale in the Form 144?

The proposed sale is listed with Morgan Stanley Smith Barney LLC Executive Financial Services located at 1 New York Plaza, New York, NY.

Does the filing indicate any undisclosed material information?

The signer represents they do not know any material adverse information about the issuer that has not been publicly disclosed, as required by the form.