Sera Prognostics, Inc. SEC Filings

Form 144 notice for SERA (Sera Prognostics, Inc.): The filer reports a proposed sale of 5,263 Class A common shares to be executed through Morgan Stanley Smith Barney LLC on 09/09/2025. The shares were acquired on 09/09/2025 upon Restricted Stock Unit Vesting and payment is listed as Not Applicable. The filing shows 38,061,868 Class A shares outstanding and an aggregate market value for the proposed sale of 16,560. The filer also disclosed three separate Class A common share sales in the past three months: 5,735 shares on 06/09/2025 (gross proceeds 8,224), 945 shares on 06/10/2025 (gross proceeds 1,403), and 5,800 shares on 08/08/2025 (gross proceeds 14,734). The form includes the standard attestation that the filer does not possess undisclosed material adverse information.

Sera Prognostics director Sandra AJ Lawrence reported the sale of 3,899 shares of Class A common stock on 09/09/2025 under a Rule 10b5-1 trading plan adopted June 10, 2025. The shares were sold in multiple transactions at prices ranging from $2.99 to $3.12, with a reported weighted-average price of $3.05. After the reported dispositions, the reporting person beneficially owns 18,814 shares. The Form 4 was signed by an attorney-in-fact, Benjamin G. Jackson.

Insider sale under 10b5-1 plan: Robert Harrison, Chief Information Officer of Sera Prognostics, sold 2,000 shares of Class A common stock on 09/09/2025 at a weighted-average price of $3.05 per share under a Rule 10b5-1 trading plan adopted May 21, 2025. Following the reported sale, the reporting person beneficially owned 100,577 shares, held directly. The filing was signed by an attorney-in-fact on behalf of the reporting person.

Form 144 Notice for Sera Prognostics, Inc. (SERA) discloses a proposed sale of 2,000 common shares through Morgan Stanley Smith Barney with an aggregate market value of $6,340.00, scheduled approximately for 09/09/2025 on NASDAQ. The shares were acquired as Restricted Stock Units on 02/06/2024 and fully paid on that date. The filing also reports three share dispositions by the same person in the past three months: 6,000 shares on 08/20/2025 (gross proceeds $13,290.00), 5,962 shares on 08/08/2025 (gross proceeds $15,143.48), and 667 shares on 06/10/2025 (gross proceeds $987.16). Several filer and issuer contact fields in the notice are blank in the provided text.

Sera Prognostics filed a Form 144 reporting a proposed sale of 3,899 common shares on the NASDAQ through Morgan Stanley Smith Barney, with an aggregate market value of $12,359.83 and total shares outstanding of 37,094,109.

The filing shows the shares were acquired as Restricted Stock Units from the issuer on 07/05/2025 and the approximate sale date is 09/09/2025. The filer states there were no sales of the issuer's securities by the same person in the past three months and affirms no undisclosed material adverse information.

Sera Prognostics, Inc. reporting persons Whetstone Capital Advisors, LLC and David Atterbury disclosed beneficial ownership of 3,632,371 shares of Class A common stock, equal to 9.9% of the class as of the required reporting date. The filing shows no sole voting or dispositive power; all voting and dispositive power is shared.

The Schedule 13G states the shares are not held to change or influence control of the issuer. The reporting address and CUSIP are provided, and the statement is signed by Mr. Atterbury as Manager and CCO/President.

Mirza Mansoor Raza, a director of Sera Prognostics, Inc. (SERA), reported a non-discretionary sale of 222 shares of Class A common stock on 09/05/2025 to satisfy tax withholding from vested restricted stock units. The shares were sold via a mandated "sell-to-cover" process at a weighted average price of $3.35 (transactions ranged $3.35–$3.36). After the transaction the reporting person beneficially owned 58,480 shares. The Form 4 was filed by one reporting person and signed by an attorney-in-fact.

Form 144 notice (SERA) records a proposed sale of 222 Class A common shares through Morgan Stanley Smith Barney on 09/05/2025 with an aggregate market value of 744. The filing states these shares were acquired the same day via restricted stock unit vesting and lists total shares outstanding as 38,061,868. The filer disclosed three sales in the past three months by Mansoor Raza Mirza: 107 shares on 06/06/2025 for gross proceeds 169; 234 shares on 07/07/2025 for gross proceeds 552; and 225 shares on 08/05/2025 for gross proceeds 563. The notice includes the standard representation that the seller is not aware of undisclosed material adverse information.

Sera Prognostics insider sale by Chief Data Officer — The reporting person, Paul Kearney, executed a sale of 1,458 shares of Class A common stock on 09/02/2025 at a reported price of $3.49 per share. After the sale, the filing shows the reporting person beneficially owns 176,940 shares. The filing states the sale was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 21, 2025, and the Form 4 was submitted by an attorney-in-fact.