Sera Prognostics officer plans 7,022-share sale

A Rule 144 notice reports non-discretionary sell-to-cover sales of SERA shares by an affiliated holder to satisfy tax withholding on vested restricted stock units.

Rhea-AI Filing Summary

SERA PROGNOSTICS, INC. (SERA) is the issuer for which Zhenya Lindgardt filed a Rule 144 notice covering the planned sale of 7,022 shares of Class A Common Stock on September 10, 2026. The shares relate to vested restricted stock units, with sales used to satisfy tax withholding obligations.

The company required these tax obligations to be funded via sell-to-cover transactions, so the sales are described as non-discretionary for the reporting person. Over the prior three months, Lindgardt reported additional sales of 6,990 shares on June 11, 2026 and 20,139 shares on September 8, 2026 under Rule 144.

Key Figures

Shares to be sold: 7,022 shares Shares outstanding: 39,449,466 shares Shares sold June 11, 2026: 6,990 shares +3 more

6 metrics

Shares to be sold 7,022 shares Planned sale of Class A Common Stock on September 10, 2026 under Rule 144

Shares outstanding 39,449,466 shares Class A Common Stock referenced in connection with the planned September 10, 2026 sale

Shares sold June 11, 2026 6,990 shares Past three‑month Rule 144 sale of Class A Common Stock

Shares sold September 8, 2026 20,139 shares Past three‑month Rule 144 sale of Class A Common Stock

Aggregate market value June 11, 2026 sale $14,016 Rule 144 sale of 6,990 shares

Aggregate market value September 8, 2026 sale $40,290 Rule 144 sale of 20,139 shares

Key Terms

Rule 144, Restricted Stock Unit, tax withholding obligations, sell to cover transactions

4 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 Unit financial

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

A restricted stock unit is a promise from a company to give an employee shares of stock after certain conditions are met, like staying with the company for a set amount of time. It’s like earning a bonus that turns into company stock once you’ve proven your commitment, making it a way to motivate and reward employees.

tax withholding obligations financial

"sold by the Reporting Person to cover tax withholding obligations"

sell to cover transactions financial

"require the satisfaction of tax withholding obligations to be funded by sell to cover transactions"

FAQ

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

What does the Form 144 filing for SERA by Zhenya Lindgardt disclose?

It discloses an intent to sell 7,022 shares of SERA Class A Common Stock on September 10, 2026 under Rule 144. The shares come from vested restricted stock units and are sold to cover related tax withholding obligations.

How many SERA (SERA) shares has Zhenya Lindgardt sold recently under Rule 144?

The notice lists past three‑month sales of 6,990 shares on June 11, 2026 and 20,139 shares on September 8, 2026, all in SERA Class A Common Stock.

Why are the SERA shares being sold in this Form 144 filing?

According to the notice, the shares are sold to cover tax withholding obligations arising from the vesting of restricted stock units. The issuer elected to require tax withholding to be funded by sell to cover transactions, making the sale non-discretionary for the reporting person.

What is the number of SERA shares outstanding referenced in the Form 144?

The Rule 144 notice references 39,449,466 shares of SERA Class A Common Stock outstanding in connection with the planned sale dated September 10, 2026.

Which broker and exchange are involved in the SERA Form 144 sale?

The planned sale of SERA Class A Common Stock is to be handled through Morgan Stanley Smith Barney LLC, with trading on NASDAQ as indicated in the notice.

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

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Available on EDGAR 09/11/2026 - 04:06 PM Accepted by SEC EDGAR 09/11/2026 - 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	7022	14045	39449466	09/10/2026	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	09/10/2026	Restricted Stock Unit Vesting	Issuer			7022	09/10/2026	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	06/11/2026	6990	14016
Zhenya Lindgardt 2749 E. Parleys Way Suite 200 Salt Lake City UT 84109	Class A Common	09/08/2026	20139	40290

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	09/11/2026
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)