[144] Sera Prognostics, Inc. SEC Filing

Rhea-AI Filing Summary

Sera Prognostics' Form 144 shows a proposed sale of 7,094 Class A Common shares through Morgan Stanley Smith Barney on 08/08/2025. The filing states these shares were acquired by Restricted Stock Unit vesting on 08/08/2025 and lists an aggregate market value of 18,021 with 38,061,868 shares outstanding. The filing also discloses sales in the past three months: 5,132 shares on 05/08/2025 (gross proceeds 12,535) and 1,439 shares on 06/10/2025 (gross proceeds 2,136), totaling 6,571 shares sold for 14,671 gross proceeds. The notice includes the required representation that the seller does not possess undisclosed material adverse information.

Positive

• The shares to be sold were acquired by Restricted Stock Unit vesting, indicating no cash purchase for the acquisition.
• The proposed sale of 7,094 shares represents approximately 0.019% of the reported 38,061,868 shares outstanding, suggesting immaterial dilution.

Negative

• None.

Insights

Financial Analyst

TL;DR: Proposed 7,094‑share sale is small relative to the 38,061,868 shares outstanding (about 0.019%).

The Form 144 shows the 7,094 shares to be sold were acquired via RSU vesting on 08/08/2025 and are to be sold through Morgan Stanley Smith Barney on the same date. Relative to the reported 38,061,868 shares outstanding, the proposed sale represents approximately 0.019% of outstanding shares, indicating the transaction is immaterial from a dilution perspective. The filing also documents two prior sales in the last three months totaling 6,571 shares and aggregate gross proceeds of 14,671, which similarly represent a very small fraction of outstanding stock.

Corporate Governance Expert

TL;DR: This is a routine insider sale tied to RSU vesting and includes the standard certification about undisclosed material adverse information.

The submission is a standard Form 144 disclosure for shares acquired by restricted stock unit vesting and slated for sale via a broker. The document contains the required seller representation that no undisclosed material adverse information is known. Given the small absolute size of the proposed sale versus total shares outstanding, the filing appears procedural rather than indicative of a material governance or disclosure concern.

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	7094	18021	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			7094	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
John J. Boniface 2749 E. Parleys Way Suite 200 Salt Lake City UT 84109	Class A Common	05/08/2025	5132	12535
John J. Boniface 2749 E. Parleys Way Suite 200 Salt Lake City UT 84109	Class A Common	06/10/2025	1439	2136

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 SERA's Form 144 report?

The form reports a proposed sale of 7,094 Class A Common shares through Morgan Stanley Smith Barney on 08/08/2025 and prior sales in the past three months.

Who is the seller listed on the filing for SERA?

The seller shown in the past-sales section is John J. Boniface (address listed in the filing).

How were the 7,094 SERA shares acquired?

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

What prior insider sales are disclosed for SERA?

Two prior sales are disclosed: 5,132 shares on 05/08/2025 (gross proceeds 12,535) and 1,439 shares on 06/10/2025 (gross proceeds 2,136), totaling 6,571 shares and 14,671 gross proceeds.

What are the aggregate market value and shares outstanding listed?

The filing lists an aggregate market value of 18,021 for the proposed sale and 38,061,868 shares outstanding.