SERA files Rule 144 notice for vested Class A shares

SERA notice of proposed sale of Class A Common shares tied to Restricted Stock Unit vesting.

Rhea-AI Filing Summary

SERA notice of proposed sale of Class A Common shares tied to Restricted Stock Unit vesting.

The filing lists securities to be sold on 03/09/2026 arising from Restricted Stock Unit vesting. It also reports prior sales by Austin Aerts: 12/09/2025 (5,232 shares) and 12/10/2025 (873 shares) as shown in the table.

Insights

Securities Compliance Counsel

Routine Rule 144 notice for RSU-related resale by an affiliate.

The form records Class A Common shares to be sold on 03/09/2026 in connection with Restricted Stock Unit vesting. The filing is procedural: Rule 144 notices enable resale under the securities resale framework when conditions are met.

Timing and cash-flow treatment are not stated; subsequent filings or broker reports would show actual sales and proceeds. Review transfer restrictions, holding periods, and any affiliate status in company records to confirm resale eligibility.

FAQ

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

What does SERA's Form 144 disclose about the securities to be sold?

It discloses Class A Common shares tied to Restricted Stock Unit vesting scheduled for 03/09/2026. The filing lists the security type and the vesting date but does not state sale proceeds or broker execution details.

Who is listed as selling shares in the SERA Form 144 filing?

The filing shows prior sales by Austin Aerts on 12/09/2025 (5,232 shares) and 12/10/2025 (873 shares). The scheduled RSU-based sale on 03/09/2026 is listed as issuer-related vesting.

Does the SERA Form 144 state how much cash the company will receive?

No. The notice indicates resale from RSU vesting but does not specify cash proceeds or whether the issuer will receive proceeds. The filing focuses on the securities and vesting/sale dates, not cash-flow treatment.

Are the prior sales by Austin Aerts part of the current offering in SERA's Form 144?

No. The filing lists prior transactions by Austin Aerts in December 2025 as historical sales during the past three months. The scheduled RSU vesting on 03/09/2026 is a separate entry for potential resale.

What conditions typically govern sales reported on a Form 144 like SERA's?

Rule 144 sales are subject to holding-period, public-information, volume, and manner-of-sale conditions when applicable. This filing notes RSU vesting and a sale date but does not state which Rule 144 conditions have been satisfied.

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

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Accepted by SEC EDGAR 03/10/2026 - 05:50 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	0001979974
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	Aerts Austin
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

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	674	1323	38594793	03/09/2026	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	03/09/2026	Restricted Stock Unit Vesting	Issuer			674	03/09/2026	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
Austin Aerts 2749 E. Parleys Way Suite 200 Salt Lake City UT 84109	Class A Common	12/09/2025	5232	15917
Austin Aerts 2749 E. Parleys Way Suite 200 Salt Lake City UT 84109	Class A Common	12/10/2025	873	2887

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	03/10/2026
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/ Austin Aerts
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)