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.
Sera Prognostics, Inc. filings document a public women's health diagnostics company focused on pregnancy biomarker information and the PreTRM® Test. Recent 8-K reports furnish quarterly and annual financial results, business highlights, investor presentations and Regulation FD disclosures tied to PRIME study publications and PreTRM clinical evidence.
Its proxy materials describe annual meeting matters, corporate governance, shareholder voting items, strategic priorities, capital allocation and commercial progress. The filing record also covers securities-law treatment of furnished press releases and exhibits related to results, clinical data and market-adoption updates.
Sera Prognostics (SERA) filed a Form 3 initial statement for its Chief Medical Officer, indicating the officer’s relationship to the company and reporting 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.
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.