[144] Sera Prognostics, Inc. SEC Filing

Rhea-AI Filing Summary

Sera Prognostics submitted a Form 144 notice proposing the sale of 5,962 Class A common shares, with an aggregate market value of $15,145. The filing reports 38,061,868 shares outstanding, placing the proposed sale in the context of the company's issued share base.

The shares are scheduled for sale on 08/08/2025 on NASDAQ through Morgan Stanley Smith Barney LLC. The securities were acquired by Restricted Stock Unit vesting from the issuer on 08/08/2025, with payment noted as not applicable.

The filing also discloses prior sales by Robert Harrison: 6,551 shares on 05/08/2025 for $16,001 and 667 shares on 06/10/2025 for $990. The signer represents no knowledge of undisclosed material adverse information.

Positive

• Compliance disclosure: The filing is a formal Form 144 notice, indicating an effort to comply with Rule 144 requirements.
• Clear transaction details: Specifies 5,962 shares, $15,145 aggregate market value, broker (Morgan Stanley Smith Barney), and sale date (08/08/2025).
• Acquisition source disclosed: Securities were acquired via Restricted Stock Unit vesting, clarifying the origin of the shares.

Negative

• None.

Insights

Securities Analyst

TL;DR: Routine Rule 144 notice for a small number of shares; likely immaterial to market price given size.

The filing documents a proposed sale of 5,962 Class A shares with an aggregate market value of $15,145 and notes 38,061,868 shares outstanding. That scale suggests the transaction is administratively important for the seller but unlikely to be market-moving by itself. The use of a major broker (Morgan Stanley Smith Barney) and disclosure of acquisition via RSU vesting clarifies transfer mechanics and compliance with Rule 144.

Corporate Governance Expert

TL;DR: Disclosure follows required Rule 144 procedures and includes seller representation about material nonpublic information.

The notice reports the source of shares as RSU vesting on the same date as the proposed sale and includes the standard representation that the seller is not aware of undisclosed material adverse information. The filing also lists prior dispositions by an identified seller, demonstrating recent trading activity disclosure. From a governance standpoint, the form meets routine disclosure expectations contained in Rule 144 filings.

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
Class A Common	Morgan Stanley Smith Barney LLC 1 New York Plaza 38th Floor New York NY 10004	5962	15145	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			5962	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
Robert Harrison 2749 E. Parleys Way Suite 200 Salt Lake City UT 84109	Class A Common	05/08/2025	6551	16001
Robert Harrison 2749 E. Parleys Way Suite 200 Salt Lake City UT 84109	Class A Common	06/10/2025	667	990

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 proposes the sale of 5,962 Class A shares (aggregate market value $15,145), to be sold on 08/08/2025 on NASDAQ through Morgan Stanley Smith Barney.

When were the shares to be sold by SERA acquired?

The shares were acquired by Restricted Stock Unit vesting from the issuer on 08/08/2025.

How many SERA shares are outstanding according to the filing?

The filing reports 38,061,868 shares outstanding.

Were there recent SERA share sales disclosed in the filing?

Yes. The filing lists prior sales by Robert Harrison: 6,551 shares on 05/08/2025 for $16,001 and 667 shares on 06/10/2025 for $990.

Does the filer represent possession of material nonpublic information?

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