Director Mark Christopher Capone files Form 3 for Sera Prognostics (SERA)

Rhea-AI Filing Summary

Sera Prognostics, Inc. director Mark Christopher Capone filed an initial Form 3 reporting beneficial ownership. This filing lists him as a director and not a ten percent owner, and shows no reported transactions or share holdings in this Form 3.

Key Terms

Form 3, reporting person, ten percent owner

3 terms

Form 3 regulatory

"INSIDER FILING DATA (Form 3)"

Form 3 is the initial public filing that officers, directors and large shareholders must submit to report their ownership of a company’s securities when they become insiders. It acts like an opening inventory sheet that gives investors a starting point to see who holds significant stakes and to spot later trades or potential conflicts of interest, helping assess insider confidence and transparency.

reporting person regulatory

""reportingPersons": [{"name": "Capone Mark Christopher""

ten percent owner regulatory

""is_ten_percent_owner": 0"

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Available on EDGAR 07/01/2026 - 04:11 PM Accepted by SEC EDGAR 07/01/2026 - 04:10 PM Learn about SEC filing dates

FAQ

What does the SERA Form 3 filing report for Mark Christopher Capone?

The Form 3 filing reports that Mark Christopher Capone is a director of Sera Prognostics, Inc. It serves as his initial statement of beneficial ownership, with no specific share holdings or transactions listed in this filing.

Does the SERA Form 3 show any stock transactions by Mark Christopher Capone?

No, the Form 3 for Sera Prognostics, Inc. reports no stock transactions by Mark Christopher Capone. The transaction summary shows zero buys, sells, exercises, gifts, or other disposition events in this initial ownership filing.

Is Mark Christopher Capone a ten percent owner of SERA according to this Form 3?

According to the Form 3 data, Mark Christopher Capone is not a ten percent owner of Sera Prognostics, Inc. He is identified as a director only, with the ten percent owner flag set to zero in the filing.

What is the purpose of this SERA Form 3 insider filing?

This Form 3 serves as an initial statement of beneficial ownership for director Mark Christopher Capone at Sera Prognostics, Inc. It formally records his insider status with the SEC, even though no specific share holdings or transactions are listed.

Does the SERA Form 3 include any derivative security positions?

No, the Form 3 for Sera Prognostics, Inc. shows no derivative positions for Mark Christopher Capone. The derivative summary is empty, and derivativeTransactionCount is reported as zero in the filing data.

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

Capone Mark Christopher

(Last) (First) (Middle)

C/O SERA PROGNOSTICS, INC.

2749 EAST PARLEYS WAY, SUITE 200

(Street)

SALT LAKE CITY UTAH 84109

(City) (State) (Zip)

UNITED STATES

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
07/01/2026

3. Issuer Name and Ticker or Trading Symbol
SERA PROGNOSTICS, INC. [ SERA ]

3a. Foreign Trading Symbol

5. If Amendment, Date of Original Filed (Month/Day/Year)

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

Remarks:

Exhibit 24.1 - Power of Attorney

No securities are beneficially owned.

	/s/ Benjamin G. Jackson, Attorney-in-fact	07/01/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 3: SEC 1473 (03-26)