[144] Sera Prognostics, Inc. SEC Filing

Rhea-AI Filing Summary

Sera Prognostics reported an insider notice to sell 5,800 Class A common shares with an aggregate market value of $14,734, planned on 08/08/2025 on NASDAQ. The shares were acquired the same day through Restricted Stock Unit vesting, and the sale is listed with Morgan Stanley Smith Barney LLC. The proposed sale equals approximately 0.015% of the 38,061,868 outstanding shares. In the prior three months the filer sold 6,374; 5,735; and 945 shares for combined gross proceeds of $25,196. The filer certifies no known material nonpublic information.

Positive

• Sale originated from RSU vesting, indicating shares were acquired through compensation rather than open-market purchase
• Transaction size is immaterial relative to outstanding shares (~0.015%), limiting potential market impact
• Brokerage route disclosed: Morgan Stanley Smith Barney LLC is listed as the broker, consistent with standard execution channels
• Recent prior sales disclosed, showing transparency about insider dispositions (13,054 shares sold in prior three months for $25,196)

Negative

• None.

Insights

Financial Analyst

TL;DR Small insider sale from RSU vesting; negligible impact on market capitalization.

The notice shows a proposed sale of 5,800 shares valued at $14,734, representing roughly 0.015% of the 38.06 million shares outstanding. Recent sales in May and June totaled 13,054 shares for $25,196, indicating modest disposition of vested holdings rather than a large-scale divestiture. Given the tiny percentage of outstanding stock involved, the transaction is unlikely to move the market or materially affect the company's capital structure.

Insider Transactions Specialist

TL;DR Disclosure aligns with Rule 144 procedures; transactions stem from RSU vesting and are routed through a major broker.

The filing identifies Restricted Stock Unit vesting as the source of the shares and names Morgan Stanley Smith Barney LLC as the broker, consistent with routine insider sales and Rule 144 reporting. The seller provided the required representation that no material nonpublic information is known. From a compliance and governance perspective, the form contains the expected information for an insider disposing of vested awards.

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	5800	14734	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			5800	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
Austin Aerts 2749 E. Parleys Way Suite 200 Salt Lake City UT 84109	Class A Common	05/08/2025	6374	15569
Austin Aerts 2749 E. Parleys Way Suite 200 Salt Lake City UT 84109	Class A Common	06/09/2025	5735	8224
Austin Aerts 2749 E. Parleys Way Suite 200 Salt Lake City UT 84109	Class A Common	06/10/2025	945	1403

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 did Sera Prognostics (SERA) file in this Form 144?

The filing notifies a proposed sale of 5,800 Class A common shares with an aggregate market value of $14,734, planned for 08/08/2025 on NASDAQ.

How were the 5,800 shares acquired by the seller?

The shares were acquired via Restricted Stock Unit vesting on 08/08/2025 (the filing lists the acquisition as RSU vesting).

Who is the broker handling the proposed sale for SERA?

The broker named in the filing is Morgan Stanley Smith Barney LLC.

How large is the proposed sale versus Sera Prognostics' outstanding shares?

5,800 shares represent approximately 0.015% of the company's 38,061,868 outstanding shares (figures from the filing).

Has the filer sold other SERA shares recently?

Yes. In the past three months the filer sold 6,374 (gross $15,569), 5,735 (gross $8,224), and 945 (gross $1,403) shares, totaling 13,054 shares and $25,196 gross proceeds.