Welcome to our dedicated page for Sera Prognostics SEC filings (Ticker: SERA), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
This page provides access to U.S. Securities and Exchange Commission (SEC) filings for Sera Prognostics, Inc. (NASDAQ: SERA), a Salt Lake City–based health diagnostics company focused on precision pregnancy care and preterm birth risk prediction. As a public company, Sera files annual, quarterly, and current reports that describe its financial condition, operations, and key clinical and commercial developments.
Investors can review annual reports on Form 10-K and quarterly reports on Form 10-Q for detailed discussions of Sera’s business, including its focus on the PreTRM® Test, a blood-based biomarker test for individualized risk prediction of spontaneous preterm birth in asymptomatic singleton pregnancies. These filings typically include information on revenues, operating expenses, research and development activities, and risk factors relevant to the company’s diagnostics business.
Current reports on Form 8-K document material events such as the release of quarterly financial results and significant clinical milestones. Recent 8-K filings reference press releases announcing second and third quarter financial results and the acceptance of the PRIME study for publication in a peer-reviewed journal. These filings help readers track how clinical evidence, such as the PRIME randomized controlled trial, connects to Sera’s commercial and strategic plans.
Users can also monitor Form 4 and other insider transaction filings, when available, to see reported trades by directors, officers, or significant shareholders. Stock Titan’s tools surface new SERA filings as they appear in the SEC’s EDGAR system and provide AI-powered summaries to explain key points, highlight important sections in lengthy documents, and make it easier to understand how disclosures about the PreTRM Test, payer engagement, and financial performance may relate to the company’s overall trajectory.
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.
Sera Prognostics insider sale notice (Form 144). The filing reports a proposed sale of 21,158 Class A common shares through Morgan Stanley Smith Barney on 09/09/2025 on NASDAQ, with an aggregate market value listed as $66,572 and total shares outstanding of 38,061,868. The shares were acquired by restricted stock unit vesting and recorded as acquired and to be paid on 09/09/2025. The filer also disclosed sales during the past three months totaling 35,957 shares on 06/09/2025, 06/10/2025, and 08/08/2025 with gross proceeds shown for each sale. The notice includes the standard representation that the seller is not aware of undisclosed material adverse information.
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.