[144] Sera Prognostics, Inc. SEC Filing

Rhea-AI Filing Summary

Sera Prognostics filed a Form 144 reporting a proposed sale of 3,899 common shares on the NASDAQ through Morgan Stanley Smith Barney, with an aggregate market value of $12,359.83 and total shares outstanding of 37,094,109.

The filing shows the shares were acquired as Restricted Stock Units from the issuer on 07/05/2025 and the approximate sale date is 09/09/2025. The filer states there were no sales of the issuer's securities by the same person in the past three months and affirms no undisclosed material adverse information.

Positive

• Full regulatory disclosure provided including broker, acquisition method, dates, and aggregate value
• Transaction routed through a major broker (Morgan Stanley Smith Barney), indicating standard execution channels

Negative

• Short holding period: shares acquired as RSUs on 07/05/2025 with an approximate sale date of 09/09/2025
• Small economic value relative to investor scrutiny may still attract attention despite immaterial size

Insights

Securities Analyst

TL;DR: Routine insider sale notice: small position, limited market impact given size relative to outstanding shares.

The Form 144 discloses a proposed sale of 3,899 shares valued at $12,359.83, representing a very small fraction of the company’s 37,094,109 shares outstanding. The shares were acquired as restricted stock units on 07/05/2025 and are being routed through a major broker, indicating a standard, compliant disposition. From a trading-volume and capitalization perspective this transaction is immaterial and unlikely to affect SERA’s share price or fundamentals.

Corporate Governance Expert

TL;DR: Disclosure meets regulatory requirements but short holding period may draw investor attention.

The filer affirms the absence of undisclosed material information and documents the broker and intended sale date. While the disclosure is complete, the record shows acquisition on 07/05/2025 and proposed sale on 09/09/2025, reflecting a short holding interval after RSU vesting. Although this is permissible and common for insiders, some governance-focused investors may note the quick sale timing; however, the absolute size is minor relative to outstanding shares.

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	3899	12359.83	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	07/05/2025	Restricted Stock Units	Issuer			3899	07/05/2025	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

Nothing to Report

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 SERA Form 144 report?

The filing reports a proposed sale of 3,899 common shares on NASDAQ through Morgan Stanley Smith Barney with an aggregate market value of $12,359.83.

When were the shares acquired and how?

The shares were acquired as Restricted Stock Units from the issuer on 07/05/2025 and the amount listed is 3,899 shares.

What is the planned sale date for the SERA shares?

The Form 144 lists an approximate sale date of 09/09/2025.

Did the filer sell any SERA securities in the past three months?

The filing states "Nothing to Report" under securities sold during the past three months.

How large is this sale relative to Sera Prognostics' outstanding shares?

The filing shows 37,094,109 shares outstanding; the proposed sale of 3,899 shares is a very small fraction of that total.