[144] Sera Prognostics, Inc. SEC Filing

Rhea-AI Filing Summary

Sera Prognostics (SERA) Form 144 notice reports a proposed sale of 10,542 common shares with an aggregate market value of $32,469.36 through Morgan Stanley Smith Barney on NASDAQ, with an approximate sale date of 08/29/2025.

The shares were acquired as restricted stock units from the issuer on 02/06/2024. The filer also reported recent disposals in the past three months: 6,460 shares sold on 08/08/2025 for $16,408.40 and 1,311 shares sold on 06/10/2025 for $1,940.28. The filer certifies no undisclosed material adverse information and includes standard Notice and signature statements.

Positive

• Transaction transparency: The filing provides explicit details on number of shares, acquisition date, and nature (Restricted Stock Units).
• Broker and market disclosed: Broker (Morgan Stanley Smith Barney) and exchange (NASDAQ) are specified, supporting orderly execution.

Negative

• Limited contextual details: The filing does not disclose a trading plan adoption date or signature information within the provided text.
• Small prior sale proceeds: Prior three-month sales total a modest $18,348.68, which may signal routine insider liquidity rather than strategic dispositions.

Insights

Securities Compliance Analyst

TL;DR: Routine insider sale notice for 10,542 RSU-derived shares; recent small dispositions recorded.

This Form 144 documents a proposed compliant sale under Rule 144 of restricted stock units acquired 02/06/2024. The transaction is routed through Morgan Stanley Smith Barney on NASDAQ with an indicated sale date of 08/29/2025 and an aggregate market value of $32,469.36. Recent sales within the three-month lookback total 7,771 shares generating $18,348.68 in gross proceeds. The filing contains the standard attestation regarding absence of undisclosed material adverse information. No additional regulatory flags, trading plan dates, or signature details are provided in the text.

Equity Markets Specialist

TL;DR: Transaction size is modest relative to typical public-company float; appears routine and non-material to investors.

The notice shows shares originated from RSUs granted by the issuer, indicating insider-origin shares rather than open-market purchases. The listed aggregate market value of ~$32.5k and prior three-month sales totaling 7,771 shares for ~$18.3k suggest limited economic impact on the company or trading liquidity. No indication of concentrated sales, related-party transfers, or plan-adoption dates is present in the filing text provided.

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	10542	32469.36	37094109	08/29/2025	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			10542	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
PAUL KEARNEY 2749 East Parleys Way, Suite 200 Salt Lake City UT 84109	Common	08/08/2025	6460	16408.40
PAUL KEARNEY 2749 East Parleys Way, Suite 200 Salt Lake City UT 84109	Common	06/10/2025	1311	1940.28

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 shares does the SERA Form 144 propose to sell?

The notice proposes sale of 10,542 common shares of Sera Prognostics with an aggregate market value of $32,469.36.

When were the shares being sold originally acquired?

The shares were acquired as Restricted Stock Units on 02/06/2024.

Through which broker and exchange is the sale planned?

The filing lists Morgan Stanley Smith Barney LLC as the broker and NASDAQ as the exchange with an approximate sale date of 08/29/2025.

What insider sales occurred in the past three months according to the filing?

The filer sold 6,460 shares on 08/08/2025 for $16,408.40 and 1,311 shares on 06/10/2025 for $1,940.28.

Does the filing state any undisclosed material information?

The filer represents by signing the notice that they do not know of any material adverse information about the issuer that has not been publicly disclosed.