[144] Sera Prognostics, Inc. SEC Filing

Rhea-AI Filing Summary

Sera Prognostics filed a Form 144 reporting a proposed sale under Rule 144 of 8,571 shares of Class A common stock that were acquired through restricted stock unit vesting on 08/08/2025, with an aggregate market value reported at $21,773. The filing lists 38,061,868 shares outstanding and indicates the transaction would be executed through Morgan Stanley Smith Barney LLC on NASDAQ. The same individual, Zhenya Lindgardt, sold 9,406 shares on 05/08/2025, 23,042 on 06/09/2025 and 3,344 on 06/10/2025, producing reported gross proceeds of $22,974, $33,042 and $4,964 respectively. The filer certifies they are not aware of any undisclosed material adverse information.

Insights

Securities Analyst

TL;DR: Insider proposes to sell 8,571 RSU shares; recent sales total 35,792 shares, both amounts are small relative to the 38.06M shares outstanding.

The filing shows the proposed sale of 8,571 shares arising from RSU vesting and prior sales of 35,792 shares in the past three months. Those quantities represent approximately 0.0225% and 0.094% of the reported 38,061,868 shares outstanding, respectively, suggesting limited direct dilution or market impact from these transactions. The use of a major broker and explicit Rule 144 reporting indicate procedural compliance rather than an extraordinary event.

Corporate Governance Expert

TL;DR: Transactions appear to be routine RSU vesting and secondary sales with the filer attesting no material nonpublic information.

The document identifies the source of the proposed sale as restricted stock unit vesting and lists prior sales by the same person, while including the standard attestation regarding material information and a trading-plan notice. From a governance perspective, the filing meets disclosure expectations under Rule 144 and signals transparency around insider monetization; the record does not disclose any governance or compliance red flags.

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

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
Class A Common	Morgan Stanley Smith Barney LLC 1 New York Plaza 38th Floor New York NY 10004	8571	21773	38061868	08/08/2025	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 *
Class A Common	08/08/2025	Restricted Stock Unit Vesting	Issuer			8571	08/08/2025	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	05/08/2025	9406	22974
Zhenya Lindgardt 2749 E. Parleys Way Suite 200 Salt Lake City UT 84109	Class A Common	06/09/2025	23042	33042
Zhenya Lindgardt 2749 E. Parleys Way Suite 200 Salt Lake City UT 84109	Class A Common	06/10/2025	3344	4964

144: Remarks and Signature

Remarks

Date of Notice

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 disclose?

The filing discloses a proposed sale of 8,571 Class A common shares acquired via RSU vesting, reported aggregate market value $21,773, and broker Morgan Stanley Smith Barney LLC.

How many shares has the insider sold in the past three months according to the filing?

The filing reports three prior sales by Zhenya Lindgardt: 9,406 shares on 05/08/2025, 23,042 on 06/09/2025, and 3,344 on 06/10/2025, totaling 35,792 shares.

What are the reported gross proceeds from recent insider sales in the filing?

The reported gross proceeds are $22,974 (05/08/2025), $33,042 (06/09/2025), and $4,964 (06/10/2025), totaling $60,980.

What percentage of outstanding shares does the proposed sale represent for SERA?

Based on the filing numbers, 8,571 proposed shares versus 38,061,868 outstanding equals about 0.0225% of shares outstanding.

Does the filing indicate any known material nonpublic information?

The filer represents in the Form 144 that they do not know of any material adverse information regarding the issuer that has not been publicly disclosed.