Sera Prognostics officer to sell 1,800 shares

An officer of Sera Prognostics filed a Rule 144 notice to sell shares mainly to cover tax withholding from restricted stock unit vesting.

Rhea-AI Filing Summary

Sera Prognostics, Inc. (SERA) officer Dyaarl Lee Anderson Jr. filed a Rule 144 notice for the planned sale of 1,800 shares of Class A Common Stock on September 10, 2026. The shares relate to restricted stock unit vesting and will be sold through Morgan Stanley Smith Barney LLC.

The company states the sale is to cover tax withholding obligations mandated by its election to use sell-to-cover transactions, and it is not a discretionary trade by the officer. During the prior three months, the officer reported a sale of 4,739 Class A Common shares on June 11, 2026.

Key Figures

Planned shares to be sold: 1,800 shares Shares sold in prior 3 months: 4,739 shares Date of planned RSU-related sale: September 10, 2026 +1 more

4 metrics

Planned shares to be sold 1,800 shares Class A Common Stock to be sold on September 10, 2026 under Rule 144

Shares sold in prior 3 months 4,739 shares Class A Common Stock sold on June 11, 2026

Date of planned RSU-related sale September 10, 2026 Sale tied to vesting of restricted stock units

Date of notice September 11, 2026 Form 144 notice date signed by Dyaarl Lee Anderson Jr.

Key Terms

Rule 144, restricted stock units, sell to cover transactions

3 terms

Rule 144 regulatory

"See the definition of "person" in paragraph (a) of Rule 144."

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

restricted stock units financial

"in connection with the vesting of restricted stock units."

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

sell to cover transactions financial

"to be funded by sell to cover transactions"

FAQ

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

What does the Form 144 filing disclose for SERA?

The filing discloses that officer Dyaarl Lee Anderson Jr. plans to sell 1,800 shares of Sera Prognostics Class A Common Stock on September 10, 2026 under Rule 144, related to the vesting of restricted stock units.

How many SERA shares are planned to be sold under this Rule 144 notice?

The notice reports a planned sale of 1,800 Class A Common shares of Sera Prognostics, tied to restricted stock unit vesting on September 10, 2026.

Why is the SERA officer selling 1,800 shares?

The company states the 1,800-share sale is to cover tax withholding obligations arising from the vesting of restricted stock units. The sale is mandated by the issuer’s sell-to-cover election and is described as not a discretionary transaction by the officer.

Which broker is handling the planned SERA share sale?

The planned sale of 1,800 Sera Prognostics Class A Common shares is to be executed through Morgan Stanley Smith Barney LLC, located at 1 New York Plaza, New York.

What SERA share sales has the officer reported in the last three months?

The officer reported a prior sale of 4,739 Class A Common shares of Sera Prognostics on June 11, 2026, as shown in the three-month sales history section of the notice.

Is the SERA officer’s planned sale under a discretionary trading decision?

The remarks state the sale is mandated by the issuer’s election to satisfy tax withholding via sell-to-cover transactions and does not represent a discretionary transaction by the reporting person.

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

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Available on EDGAR 09/11/2026 - 04:05 PM Accepted by SEC EDGAR 09/11/2026 - 04:05 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	0002072324
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	Anderson Dyaarl Lee Jr.
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	1800	3600	39449466	09/10/2026	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	09/10/2026	Restricted Stock Unit Vesting	Issuer			1800	09/10/2026	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
Lee Anderson 2749 E. Parleys Way Suite 200 Salt Lake City UT 84109	Class A Common	06/11/2026	4739	9503

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	09/11/2026
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/ Dyaarl Lee Anderson Jr.
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)