Sera Prognostics, Inc. SEC Filings

Sera Prognostics (SERA) filed a Form 4 reporting equity awards to its Chief Medical Officer. On 10/15/2025, the officer acquired 75,000 shares of Class A Common Stock represented by RSUs at a price of $0, bringing beneficial ownership of these shares to 75,000, held directly.

The filing also reports a stock option grant for 107,000 shares at an exercise price of $3.13, expiring on 10/15/2035, with 107,000 derivative securities beneficially owned directly. The RSUs vest over four years: 25% on the first anniversary of the vesting commencement date, which is October 10, 2025, then 1/12 of the remainder in quarterly installments for three years thereafter. The options vest over four years: 25% on the first anniversary of the vesting commencement date, which is October 10, 2025, then 1/36 of the remainder in monthly installments for three years thereafter.

Sera Prognostics (SERA)no securities beneficially owned as of the event date 10/01/2025. The filing was submitted as an individual report and includes an Exhibit 24.1 Power of Attorney authorizing the attorney-in-fact to sign on the reporting person’s behalf. This is a routine ownership disclosure required at the start of insider reporting.

Harrison Robert Gardner, Chief Information Officer of SERA Prognostics, Inc. (SERA), reported a planned sale of 2,000 shares of Class A common stock executed on 10/07/2025 under a Rule 10b5-1 trading plan adopted on 05/21/2025. The shares were sold in multiple transactions at prices ranging from $3.04 to $3.28, with a reported weighted average price of $3.18. After this disposition, the reporting person beneficially owns 97,932 shares directly. The form is signed by an attorney-in-fact and notes that detailed per-trade information is available on request.

Sera Prognostics, Inc. insider Robert Gardner Harrison filed a Notice of Proposed Sale under Rule 144 reporting the planned sale of 2,000 common shares through Morgan Stanley Smith Barney LLC on 10/07/2025 with an aggregate market value of $6,520.00. The filing shows those 2,000 shares were acquired as Restricted Stock Units on 02/06/2024 and lists prior sales by the same person during the past three months totaling 14,607 shares across multiple transactions (largest listed: 6,000 on 08/20/2025 for $13,290.00). The filer certifies no undisclosed material adverse information and references reliance on Rule 10b5-1 timing where applicable.

Director sale to cover RSU taxes: A director, Mirza Mansoor Raza, reported on 10/06/2025 the disposition of 227 shares of Class A common stock via a sell-to-cover transaction to satisfy tax withholding on vested restricted stock units. The reported weighted-average sale price was $3.16, with execution prices ranging from $3.15 to $3.20. After the transaction the reporting person beneficially owned 58,253 shares directly. The filing states the sale was mandated by the issuer's tax-withholding election and was not a discretionary trade by the director.

Sera Prognostics (SERA) filed a Form 144 reporting a proposed sale of 227 Class A common shares that vested as restricted stock units on 10/06/2025. The filing lists Morgan Stanley Smith Barney LLC as the broker and shows an aggregate market value of $718 for the proposed sale and 38,061,868 shares outstanding. The notice also discloses three prior sales by Mansoor Raza Mirza in the past three months: 234 shares on 07/07/2025 for $552, 225 shares on 08/05/2025 for $563, and 222 shares on 09/05/2025 for $744.

The filer states the 227 shares arose from RSU vesting on 10/06/2025 and lists the approximate date of sale as 10/06/2025. The signer certifies no undisclosed material adverse information and warns that intentional misstatements are federal crimes.

Sera Prognostics director Sandra Lawrence reported an amended Form 4 showing the sale of 1,560 shares of Class A common stock at a weighted average price of $3.05, leaving her with 21,153 shares beneficially owned. The sales were executed under a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2025, and the Form 4 amendment corrects an administrative error in the originally reported share count. The filer states the reported price is a weighted average for multiple transactions ranging from $2.99 to $3.12 and offers to provide a breakdown on request.

Sera Prognostics insider sale to satisfy tax withholding

Zhenya Lindgardt, who serves as both Chief Executive Officer and a director of Sera Prognostics, sold 21,158 shares of Class A common stock on 09/09/2025 as a "sell to cover" to satisfy tax withholding obligations related to RSU vesting. The shares were part of a block trade executed at prices ranging from $3.00 to $3.33 with a reported weighted average price of $3.15. After the transaction, the reporting person beneficially owned 811,136 shares, reported as direct ownership.

Sera Prognostics insider sale to cover taxes — The company's Chief Financial Officer, Austin Aerts, reported a sale of 5,263 shares of Class A common stock on 09/09/2025 at a weighted-average price of $3.15 per share. The filing states the sale was a "sell to cover" to satisfy tax-withholding obligations from RSU vesting and was mandated by the issuer, not a discretionary trade by the reporting person. After the transaction, the reporting person beneficially owned 285,585 shares directly. The filer notes the block trade underlying the weighted-average price included executions at prices ranging from $3.00 to $3.33 and offers to provide detailed per-price information upon request.