SERA / Sera Prognostics, Inc. - SEC-Einreichungen, Jahresbericht, Proxy Statement

FORM 8-K Item 5.07 Submission of Matters to a Vote of Security Holders.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 04, 2026 Sera Prognostics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-40606 26-1911522 (State or Other Jurisdiction of Incorporation) (Commission Fi

FORM 8-K Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. Item 9.01 Financial Statements and Exhibits.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 26, 2026 Sera Prognostics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-40606 26-1911522 (State or Other Jurisdiction of Incorporation) (Commission Fil

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin

SERA PROGNOSTICS ANNOUNCES BOARD TRANSITION

Exhibit 99.1 SERA PROGNOSTICS ANNOUNCES BOARD TRANSITION Salt Lake City – June 1, 2026 – Sera Prognostics Inc., The Pregnancy Company® (Nasdaq: SERA), focused on improving maternal and neonatal health by providing innovative pregnancy biomarker information to doctors and patients, today announced that Jeff Elliott has notified the Company of his intention to step down from its Board of Directors,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2026 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-40606 SERA PROGNOSTICS, INC.

FORM 8-K Item 2.02 Results of Operations and Financial Condition. Item 9.01 Financial Statements and Exhibits.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 06, 2026 Sera Prognostics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-40606 26-1911522 (State or Other Jurisdiction of Incorporation) (Commission Fil

SERA PROGNOSTICS REPORTS FIRST QUARTER 2026 FINANCIAL RESULTS

Exhibit 99.1 SERA PROGNOSTICS REPORTS FIRST QUARTER 2026 FINANCIAL RESULTS Salt Lake City – May 6, 2026 – Sera Prognostics Inc., The Pregnancy Company® (Nasdaq: SERA), focused on improving maternal and neonatal health by providing innovative pregnancy biomarker information to doctors and patients, today announced financial results for the first quarter ended March 31, 2026. Key First Quarter and R

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin

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UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K (Mark One)  ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2025 OR TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-40606 SERA PROGNOSTICS, INC.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin

SERA PROGNOSTICS, INC. AMENDED AND RESTATED EMPLOYMENT AGREEMENT

Exhibit 10.11.3 SERA PROGNOSTICS, INC. AMENDED AND RESTATED EMPLOYMENT AGREEMENT This Amended and Restated Employment Agreement (this “Agreement”) is effective for all purposes as of March 13, 2026 (the “Effective Date”), by and between Sera Prognostics, Inc., a Delaware corporation (the “Company”), and John Boniface (the “Employee”). WHEREAS, Employee is employed by the Company pursuant to an Emp

SERA PROGNOSTICS, INC. AMENDED AND RESTATED EMPLOYMENT AGREEMENT

Exhibit 10.13.3 SERA PROGNOSTICS, INC. AMENDED AND RESTATED EMPLOYMENT AGREEMENT This Amended and Restated Employment Agreement (this “Agreement”) is effective for all purposes as of March 13, 2026 (the “Effective Date”), by and between Sera Prognostics, Inc., a Delaware corporation (the “Company”), and Paul Kearney (the “Employee”). WHEREAS, Employee is employed by the Company pursuant to an Empl

SERA PROGNOSTICS, INC. AMENDED AND RESTATED EMPLOYMENT AGREEMENT

Exhibit 10.14.4 SERA PROGNOSTICS, INC. AMENDED AND RESTATED EMPLOYMENT AGREEMENT This Amended and Restated Employment Agreement (this “Agreement”) is effective for all purposes as of March 17, 2026 (the “Effective Date”), by and between Sera Prognostics, Inc., a Delaware corporation (the “Company”), and Robert Harrison (the “Employee”). WHEREAS, Employee is employed by the Company pursuant to an E

Up to $40,000,000 Sera Prognostics, Inc. Class A Common Stock

424B5 Table of Contents As Filed Pursuant to Rule 424(b)(5) Registration No. 333-281347 PROSPECTUS SUPPLEMENT (To Prospectus dated August 13, 2024) Up to $40,000,000 Sera Prognostics, Inc. Class A Common Stock We have entered into an at-the-market sales agreement with William Blair & Company, L.L.C., or William Blair, as our sales agent, relating to the shares of our Class A common stock offered b

SERA PROGNOSTICS, INC. AMENDED AND RESTATED EMPLOYMENT AGREEMENT

Exhibit 10.18.2 SERA PROGNOSTICS, INC. AMENDED AND RESTATED EMPLOYMENT AGREEMENT This Amended and Restated Employment Agreement (this “Agreement”) is effective for all purposes as of March 16, 2026 (the “Effective Date”), by and between Sera Prognostics, Inc., a Delaware corporation (the “Company”), and Tiffany Inglis (the “Employee”). WHEREAS, Employee is employed by the Company pursuant to an Em

SERA PROGNOSTICS, INC. EMPLOYMENT AGREEMENT

Exhibit 10.18.1 SERA PROGNOSTICS, INC. EMPLOYMENT AGREEMENT This Employment Agreement (this “Agreement”) is entered into and effective for all purposes as of October 1, 2025 (the “Effective Date”), by and between Sera Prognostics, Inc., a Delaware corporation (the “Company”), and Dr. Tiffany Inglis (“Employee”). 1. Employment and Duties. Subject to the terms and conditions set forth in this Agreem

SERA PROGNOSTICS REPORTS FOURTH QUARTER 2025 FINANCIAL RESULTS

Exhibit 99.1 SERA PROGNOSTICS REPORTS FOURTH QUARTER 2025 FINANCIAL RESULTS Salt Lake City – March 18, 2026 – Sera Prognostics Inc., The Pregnancy Company® (Nasdaq: SERA), focused on improving maternal and neonatal health by providing innovative pregnancy biomarker information to doctors and patients, today announced financial results for the fourth quarter and full year ended December 31, 2025. K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-40606 SERA PROGNOSTICS, INC.

SERA PROGNOSTICS, INC. AMENDED AND RESTATED EMPLOYMENT AGREEMENT

Exhibit 10.12.4 SERA PROGNOSTICS, INC. AMENDED AND RESTATED EMPLOYMENT AGREEMENT This Amended and Restated Employment Agreement (this “Agreement”) is effective for all purposes as of March 13, 2026 (the “Effective Date”), by and between Sera Prognostics, Inc., a Delaware corporation (the “Company”), and Benjamin Jackson (the “Employee”). WHEREAS, Employee is employed by the Company pursuant to an

SERA PROGNOSTICS, INC. AMENDED AND RESTATED EMPLOYMENT AGREEMENT

Exhibit 10.16.3 SERA PROGNOSTICS, INC. AMENDED AND RESTATED EMPLOYMENT AGREEMENT This Amended and Restated Employment Agreement (this “Agreement”) is effective for all purposes as of March 16, 2026 (the “Effective Date”), by and between Sera Prognostics, Inc., a Delaware corporation (the “Company”), and Austin Aerts (the “Employee”). WHEREAS, Employee is employed by the Company pursuant to an Empl

SERA PROGNOSTICS, INC. $40,000,000 of SHARES of CLASS A COMMON STOCK SALES AGREEMENT

Exhibit 10.26 Execution Version SERA PROGNOSTICS, INC. $40,000,000 of SHARES of CLASS A COMMON STOCK SALES AGREEMENT March 18, 2026 William Blair & Company, L.L.C. 150 North Riverside Plaza Chicago, Illinois 60606 Ladies and Gentlemen: Sera Prognostics, Inc. (the “Company”), confirms its agreement (this “Agreement”) with William Blair & Company, L.L.C. (“William Blair”), as follows: 1. Issuance an

SERA PROGNOSTICS, INC. AMENDED AND RESTATED EMPLOYMENT AGREEMENT

Exhibit 10.17.2 SERA PROGNOSTICS, INC. AMENDED AND RESTATED EMPLOYMENT AGREEMENT This Amended and Restated Employment Agreement (this “Agreement”) is effective for all purposes as of March 14, 2026 (the “Effective Date”), by and between Sera Prognostics, Inc., a Delaware corporation (the “Company”), and Lee Anderson (the “Employee”). WHEREAS, Employee is employed by the Company pursuant to an Empl

I. The Need for an Insider Trading Policy II. What is Material Non-Public Information? III. The Consequences of Insider Trading IV. Our Policy V. Individual Responsibility VI. Additional Prohibited Transactions VII. Post-Termination Transactions VIII

Exhibit 19.1 sera prognostics, Inc. INSIDER TRADING POLICY Last updated: December 1, 2025 TABLE OF CONTENTS I. The Need for an Insider Trading Policy 2 II. What is Material Non-Public Information? 3 III. The Consequences of Insider Trading 4 IV. Our Policy 4 V. Individual Responsibility 9 VI. Additional Prohibited Transactions 10 VII. Post-Termination Transactions 11 VIII. Company Assistance 11 IX

Calculation of Filing Fee Table Form S-8 (Form Type) Sera Prognostics, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered

Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Sera Prognostics, Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT THE SECURITIES ACT OF 1933 Sera Prognostics, Inc. (Exact name of registrant as specified in its charter)

Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Sera Prognostics, Inc. (Exact name of registrant as specified in its charter) Delaware 26-1911522 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification Number) 2749 East Parleys Way Suite 200 Salt Lak

FORM 8-K Item 2.02 Results of Operations and Financial Condition. Item 9.01 Financial Statements and Exhibits.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 18, 2026 Sera Prognostics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-40606 26-1911522 (State or Other Jurisdiction of Incorporation) (Commission F

SERA PROGNOSTICS, INC. AMENDED AND RESTATED EMPLOYMENT AGREEMENT

Exhibit 10.15.2 SERA PROGNOSTICS, INC. AMENDED AND RESTATED EMPLOYMENT AGREEMENT This Amended and Restated Employment Agreement (this “Agreement”) is effective for all purposes as of March 16, 2026 (the “Effective Date”), by and between Sera Prognostics, Inc., a Delaware corporation (the “Company”), and Evguenia Lindgardt (the “Employee”). WHEREAS, Employee is employed by the Company pursuant to a

FORM 8-K Item 7.01 Regulation FD Disclosure. Item 9.01 Financial Statements and Exhibits.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 08, 2026 Sera Prognostics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-40606 26-1911522 (State or Other Jurisdiction of Incorporation) (Commission

JANUARY 2026 We are redefining pregnancy care to reduce the burden of preterm birth

JANUARY 2026 We are redefining pregnancy care to reduce the burden of preterm birth This presentation contains forward-looking statements that involve substantial risks and uncertainties.

Landmark Study Finds PreTRM® Blood Test Reduces Earliest Preterm Births and Newborn Complications

Landmark Study Finds PreTRM® Blood Test Reduces Earliest Preterm Births and Newborn Complications Published in the journal PREGNANCY, the PRIME Study demonstrates significant improvements in neonatal outcomes with early risk screening and targeted interventions.

FORM 8-K Item 7.01 Regulation FD Disclosure. Item 9.01 Financial Statements and Exhibits.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 07, 2026 Sera Prognostics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-40606 26-1911522 (State or Other Jurisdiction of Incorporation) (Commission

Sera Announces Publication Acceptance for PRIME Study The PRIME study, one of the largest studies on preterm birth, has been accepted for publication by a medical journal following abstract presentation earlier this year

Exhibit 99.1 Sera Announces Publication Acceptance for PRIME Study The PRIME study, one of the largest studies on preterm birth, has been accepted for publication by a medical journal following abstract presentation earlier this year SALT LAKE CITY - Nov. 24, 2025 - Sera Prognostics, Inc., The Pregnancy Company® (NASDAQ: SERA), focused on improving maternal and neonatal health by providing innovat

FORM 8-K Item 7.01 Regulation FD Disclosure. Item 9.01 Financial Statements and Exhibits.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 24, 2025 Sera Prognostics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-40606 26-1911522 (State or Other Jurisdiction of Incorporation) (Commissio

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-40606 SERA PROGNOSTICS, INC.

SERA PROGNOSTICS REPORTS THIRD QUARTER 2025 FINANCIAL RESULTS

Exhibit 99.1 SERA PROGNOSTICS REPORTS THIRD QUARTER 2025 FINANCIAL RESULTS Salt Lake City – November 13, 2025 – Sera Prognostics Inc., The Pregnancy Company® (Nasdaq: SERA), focused on improving maternal and neonatal health by providing innovative pregnancy biomarker information to doctors and patients, today announced financial results for the third quarter of 2025 ended September 30, 2025. Third

FORM 8-K Item 2.02 Results of Operations and Financial Condition. Item 9.01 Financial Statements and Exhibits.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 13, 2025 Sera Prognostics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-40606 26-1911522 (State or Other Jurisdiction of Incorporation) (Commissio

Fourth Amendment to Lease, effective as of September 22, 2025, by and between Eastland Regency, L.C. and the Registrant.

Exhibit 10.1 FOURTH AMENDMENT TO LEASE This Fourth Amendment to Lease (“Fourth Amendment”) is entered into as of the 22nd day of September 2025 (“Effective Date”), by and between EASTLAND REGENCY, L.C., a Utah limited liability company (“Landlord”), and SERA PROGNOSTICS, INC., a Delaware corporation (“Tenant”). RECITALS WHEREAS, Landlord and Tenant entered into that certain Lease Agreement dated A

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144 0001421563 XXXXXXXX LIVE 0001534969 SERA PROGNOSTICS, INC. 001-40606 2749 East Parleys Way, Suite 200 Salt Lake City UT 84109 8019900520 ROBERT GARDNER HARRISON Officer Common Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004 2000 6520.00 37094109 10/07/2025 NASDAQ Common 02/06/2024 Restricted Stock Units Issuer N 2000 02/06/2024 N/A N RO

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144 0001588389 XXXXXXXX LIVE 0001534969 Sera Prognostics, Inc. 001-40606 2749 East Parleys Way Suite 200 Salt Lake City UT 84109 (801)-990-0520 Mirza Mansoor Raza Director Class A Common Morgan Stanley Smith Barney LLC 1 New York Plaza 38th Floor New York NY 10004 227 718 38061868 10/06/2025 NASDAQ Class A Common 10/06/2025 Restricted Stock Unit Vesting Issuer N 227 10/06/2025 Not Applicable N Man

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144 0001891299 XXXXXXXX LIVE 0001534969 Sera Prognostics, Inc. 001-40606 2749 East Parleys Way Suite 200 Salt Lake City UT 84109 (801)-990-0520 Lindgardt Zhenya Officer Director Class A Common Morgan Stanley Smith Barney LLC 1 New York Plaza 38th Floor New York NY 10004 3246 10156 38061868 09/11/2025 NASDAQ Class A Common 09/11/2025 Restricted Stock Unit Vesting Issuer N 3246 09/11/2025 Not Applic

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144 0001421563 XXXXXXXX LIVE 0001534969 Sera Prognostics, Inc. 001-40606 2749 East Parleys Way Suite 200 Salt Lake City UT 84109 (801)-990-0520 Harrison Robert Gardner Officer Class A Common Morgan Stanley Smith Barney LLC 1 New York Plaza 38th Floor New York NY 10004 645 2018 38061868 09/11/2025 NASDAQ Class A Common 09/11/2025 Restricted Stock Unit Vesting Issuer N 645 09/11/2025 Not Applicable

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144 0001779964 XXXXXXXX LIVE 0001534969 Sera Prognostics, Inc. 001-40606 2749 East Parleys Way Suite 200 Salt Lake City UT 84109 (801)-990-0520 Jackson Benjamin Officer Class A Common Morgan Stanley Smith Barney LLC 1 New York Plaza 38th Floor New York NY 10004 934 2922 38061868 09/11/2025 NASDAQ Class A Common 09/11/2025 Restricted Stock Unit Vesting Issuer N 934 09/11/2025 Not Applicable N Benja

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144 0001870674 XXXXXXXX LIVE 0001534969 Sera Prognostics, Inc. 001-40606 2749 East Parleys Way Suite 200 Salt Lake City UT 84109 (801)-990-0520 Boniface John J. Officer Class A Common Morgan Stanley Smith Barney LLC 1 New York Plaza 38th Floor New York NY 10004 1395 4365 38061868 09/11/2025 NASDAQ Class A Common 09/11/2025 Restricted Stock Unit Vesting Issuer N 1395 09/11/2025 Not Applicable N Joh

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144 0001888075 XXXXXXXX LIVE 0001534969 Sera Prognostics, Inc. 001-40606 2749 East Parleys Way Suite 200 Salt Lake City UT 84109 (801)-990-0520 Kearney Paul Officer Class A Common Morgan Stanley Smith Barney LLC 1 New York Plaza 38th Floor New York NY 10004 1271 3977 38061868 09/11/2025 NASDAQ Class A Common 09/11/2025 Restricted Stock Unit Vesting Issuer N 1271 09/11/2025 Not Applicable N Paul Ke

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144 0001979974 XXXXXXXX LIVE 0001534969 Sera Prognostics, Inc. 001-40606 2749 East Parleys Way Suite 200 Salt Lake City UT 84109 (801)-990-0520 Aerts Austin Officer Class A Common Morgan Stanley Smith Barney LLC 1 New York Plaza 38th Floor New York NY 10004 915 2863 38061868 09/11/2025 NASDAQ Class A Common 09/11/2025 Restricted Stock Unit Vesting Issuer N 915 09/11/2025 Not Applicable N Austin Ae

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144 0001979974 XXXXXXXX LIVE 0001534969 Sera Prognostics, Inc. 001-40606 2749 East Parleys Way Suite 200 Salt Lake City UT 84109 (801)-990-0520 Aerts Austin Officer Class A Common Morgan Stanley Smith Barney LLC 1 New York Plaza 38th Floor New York NY 10004 5263 16560 38061868 09/09/2025 NASDAQ Class A Common 09/09/2025 Restricted Stock Unit Vesting Issuer N 5263 09/09/2025 Not Applicable N Austin

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144 0001421563 XXXXXXXX LIVE 0001534969 SERA PROGNOSTICS INC 001-40606 2749 East Parleys Way, Suite 200 Salt Lake City UT 84109 8019900520 ROBERT GARDNER HARRISON Officer Common Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004 2000 6340.

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144 0001891299 XXXXXXXX LIVE 0001534969 Sera Prognostics, Inc. 001-40606 2749 East Parleys Way Suite 200 Salt Lake City UT 84109 (801)-990-0520 Lindgardt Zhenya Officer Director Class A Common Morgan Stanley Smith Barney LLC 1 New York Plaza 38th Floor New York NY 10004 21158 66572 38061868 09/09/2025 NASDAQ Class A Common 09/09/2025 Restricted Stock Unit Vesting Issuer N 21158 09/09/2025 Not Appl

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144 0001306386 XXXXXXXX LIVE 0001534969 SERA PROGNOSTICS INC 001-40606 2749 East Parleys Way, Suite 200 Salt Lake City UT 84109 8019900520 SANDRA AJ LAWRENCE Director Common Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004 3899 12359.

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144 0001588389 XXXXXXXX LIVE 0001534969 Sera Prognostics, Inc. 001-40606 2749 East Parleys Way Suite 200 Salt Lake City UT 84109 (801)-990-0520 Mirza Mansoor Raza Director Class A Common Morgan Stanley Smith Barney LLC 1 New York Plaza 38th Floor New York NY 10004 222 744 38061868 09/05/2025 NASDAQ Class A Common 09/05/2025 Restricted Stock Unit Vesting Issuer N 222 09/05/2025 Not Applicable N Man

This presentation contains forward-looking statements that involve substantial risks and uncertainties. All statements, other than statements of historical facts, contained in this presentation, including statements regarding our strategy, future ope

September 2025 We are redefining pregnancy care to reduce the burden of preterm birth Exhibit 99.

FORM 8-K Item 7.01 Regulation FD Disclosure. Item 9.01 Financial Statements and Exhibits.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 05, 2025 Sera Prognostics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-40606 26-1911522 (State or Other Jurisdiction of Incorporation) (Commissi

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144 0001888075 XXXXXXXX LIVE 0001534969 SERA PROGNOSTICS INC 001-40606 2749 East Parleys Way, Suite 200 Salt Lake City UT 84109 8019900520 PAUL KEARNEY Officer Common Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004 1458 4709.

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144 0001888075 XXXXXXXX LIVE 0001534969 SERA PROGNOSTICS INC 001-40606 2749 East Parleys Way, Suite 200 Salt Lake City UT 84109 8019900520 PAUL KEARNEY Officer Common Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004 10542 32469.

Employment Agreement by and between Registrant and Lee Anderson, dated May 19, 2025.

Exhibit 10.1 SERA PROGNOSTICS, INC. EMPLOYMENT AGREEMENT This Employment Agreement (this “Agreement”) is entered into and effective for all purposes as of May 19, 2025 (the “Effective Date”), by and between Sera Prognostics, Inc., a Delaware corporation (the “Company”), and Lee Anderson (“Employee”). 1. Employment and Duties. Subject to the terms and conditions set forth in this Agreement, the Com

SERA PROGNOSTICS REPORTS SECOND QUARTER 2025 FINANCIAL RESULTS

Exhibit 99.1 SERA PROGNOSTICS REPORTS SECOND QUARTER 2025 FINANCIAL RESULTS Salt Lake City – August 6, 2025 – Sera Prognostics Inc., The Pregnancy Company® (Nasdaq: SERA), focused on improving maternal and neonatal health by providing innovative pregnancy biomarker information to doctors and patients, today announced financial results for the second quarter of 2025 ended June 30, 2025. Second Quar

Consulting Agreement by and between the Registrant and Marcus Wilson, dated June 4, 2025.

Exhibit 10.2 CONSULTING AGREEMENT THIS CONSULTING AGREEMENT (the “Agreement”) is entered into between Sera Prognostics, Inc. (the “Company”), with a business address at 2749 East Parleys Way, Suite 200, Salt Lake City, UT 84109, and Marcus Wilson (the “Consultant”), effective as of Consultant’s last day of service (the “Effective Date”) as a member of the Company’s Board of Directors (the “Board”)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-40606 SERA PROGNOSTICS, INC.

FORM 8-K Item 2.02 Results of Operations and Financial Condition. Item 9.01 Financial Statements and Exhibits.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 06, 2025 Sera Prognostics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-40606 26-1911522 (State or Other Jurisdiction of Incorporation) (Commission

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 05, 2025 Sera Prognostics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-40606 26-1911522 (State or Other Jurisdiction of Incorporation) (Commission Fi

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 08, 2025 Sera Prognostics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-40606 26-1911522 (State or Other Jurisdiction of Incorporation) (Commission Fil

SERA PROGNOSTICS APPOINTS LEE ANDERSON AS CHIEF COMMERCIAL OFFICER Industry Veteran to Spearhead Commercial Expansion, Driving Innovation and Growth at the Company

Exhibit 99.1 SERA PROGNOSTICS APPOINTS LEE ANDERSON AS CHIEF COMMERCIAL OFFICER Industry Veteran to Spearhead Commercial Expansion, Driving Innovation and Growth at the Company Salt Lake City – May 8, 2025 – Sera Prognostics Inc., The Pregnancy Company® (Nasdaq: SERA), focused on improving maternal and neonatal health by providing innovative pregnancy biomarker information to doctors and patients,

SERA PROGNOSTICS REPORTS FIRST QUARTER 2025 FINANCIAL RESULTS

Exhibit 99.1 SERA PROGNOSTICS REPORTS FIRST QUARTER 2025 FINANCIAL RESULTS Salt Lake City – May 7, 2025 – Sera Prognostics Inc., The Pregnancy Company® (Nasdaq: SERA), focused on improving maternal and neonatal health by providing innovative pregnancy biomarker information to doctors and patients, today announced financial results for the first quarter of 2025 ended March 31, 2025. Recent Highligh

FORM 8-K Item 2.02 Results of Operations and Financial Condition. Item 9.01 Financial Statements and Exhibits.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 07, 2025 Sera Prognostics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-40606 26-1911522 (State or Other Jurisdiction of Incorporation) (Commission Fil

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-40606 SERA PROGNOSTICS, INC.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin

ARS

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K (Mark One) ⌧ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-40606 SERA PROGNOSTICS, INC.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin

Insider Trading Policy

EX-19.1 2 sera-ex191.htm EX-19.1 Exhibit 19.1 sera prognostics, Inc. INSIDER TRADING POLICY Last updated: November 15, 2024 TABLE OF CONTENTS I. The Need for an Insider Trading Policy 2 II. What is Material Non-Public Information? 3 III. The Consequences of Insider Trading 4 IV. Our Policy 4 V. Individual Responsibility 9 VI. Additional Prohibited Transactions 10 VII. Post-Termination Transactions

Filing Fee Table

Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Sera Prognostics, Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT THE SECURITIES ACT OF 1933 Sera Prognostics, Inc. (Exact name of registrant as specified in its charter)

Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Sera Prognostics, Inc. (Exact name of registrant as specified in its charter) Delaware 26-1911522 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification Number) 2749 East Parleys Way Suite 200 Salt Lak

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-40606 SERA PROGNOSTICS, INC.

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 19, 2025 Sera Prognostics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-40606 26-1911522 (State or Other Jurisdiction of Incorporation) (Commission F

SERA PROGNOSTICS REPORTS FOURTH QUARTER 2024 FINANCIAL RESULTS

Exhibit 99.1 SERA PROGNOSTICS REPORTS FOURTH QUARTER 2024 FINANCIAL RESULTS Salt Lake City – March 19, 2025 – Sera Prognostics Inc., The Pregnancy Company® (Nasdaq: SERA), focused on improving maternal and neonatal health by providing innovative pregnancy biomarker information to doctors and patients, today announced financial results for the fourth quarter and full year ended December 31, 2024. R

2749 East Parleys Way - Suite 200 | Salt Lake City, Utah 84109 | Phone 801.990.0520 | Fax 801.990.0640

EX-99.4 3 tm254155d6ex99-4.htm EXHIBIT 99.4 Exhibit 99.4 April 29, 2021 c/o Baker Bros. Advisors LP 860 Washington St. – 3rd fl. New York, NY 10014 Re: IPO Participation, Board, Observer and Publicity Rights Ladies and Gentlemen: Subject to and in consideration of the purchase of shares of Series E Preferred Stock, par value $0.0001 per share (the “Preferred Stock”), of Sera Prognostics, Inc., a D

LIMITED POWER OF ATTORNEY

Exhibit 24.1 LIMITED POWER OF ATTORNEY The undersigned, Marcin Czernik, hereby appoints Shalom Leaf as his attorney-in-fact (i) for and on behalf of the undersigned, including, without limitation, in my current or future capacity as a director and, if applicable, as an officer of Chione Limited (the “Company”), and (ii) for and on behalf of the Company, in each case, in respect of (A) any current

LIMITED POWER OF ATTORNEY

Exhibit 24.3 LIMITED POWER OF ATTORNEY The undersigned, Anastasis Nikolaou, hereby appoints Shalom Leaf as his attorney-in-fact (i) for and on behalf of the undersigned, including, without limitation, in my current or future capacity as a director and, if applicable, as an officer of Chione Limited (the “Company”), and (ii) for and on behalf of the Company, in each case, in respect of (A) any curr

LIMITED POWER OF ATTORNEY

EX-24.2 3 ea023117201ex24-2sera.htm POWER OF ATTORNEY, DATED FEBRUARY 13, 2025, MADE BY ANDREAS HADJIMICHAEL AND CHIONE LTD. IN FAVOR OF SHALOM LEAF Exhibit 24.2 LIMITED POWER OF ATTORNEY The undersigned, Andreas Hadjimichael, hereby appoints Shalom Leaf as his attorney-in-fact (i) for and on behalf of the undersigned, including, without limitation, in my current or future capacity as a director a

LIMITED POWER OF ATTORNEY

EX-24.4 5 ea023117201ex24-4sera.htm POWER OF ATTORNEY, DATED FEBRUARY 13, 2025, MADE BY WIACZESLAW SMOLOKOWSKI IN FAVOR OF SHALOM LEAF Exhibit 24.4 LIMITED POWER OF ATTORNEY The undersigned, Wiaczeslaw Smolokowski, hereby appoints Shalom Leaf as his attorney-in-fact for and on behalf of the undersigned, in respect of (A) any current or future direct or indirect beneficial ownership of, or pecuniar

AMENDMENT No. 2 to IPO Participation, Board, Observer and Publicity Rights LETTER AGREEMENT

EX-99.5 4 tm254155d6ex99-5.htm EXHIBIT 99.5 Exhibit 99.5 AMENDMENT No. 2 to IPO Participation, Board, Observer and Publicity Rights LETTER AGREEMENT This Amendment No. 2 (“Amendment No.2”) is made effective as of December 6, 2023 (the “Amendment No.2 Effective Date”) by and between Sera Prognostics, Inc., a Delaware corporation (the “Company”), by Baker Bros. Advisors LP (“BBA”) and/or one or more

(1) The reported price is a weighted average price. These shares were traded in multiple transactions at prices ranging from $6.51 to $6.68. The Reporting Persons undertake to provide the staff of the Securities and Exchange Commission (the “Staff”),

Exhibit 99.6 Name Date Number of Shares Transaction Price/Share Footnote 667, L.P. 1/17/2025 682 Purchase 6.5556 1 Baker Brothers Life Sciences, L.P. 1/17/2025 7,441 Purchase 6.5556 1 667, L.P. 1/21/2025 369 Purchase 6.6330 2 Baker Brothers Life Sciences, L.P. 1/21/2025 4,031 Purchase 6.6330 2 667, L.P. 1/22/2025 428 Purchase 6.5970 3 Baker Brothers Life Sciences, L.P. 1/22/2025 4,672 Purchase 6.5

JOINT FILING AGREEMENT

Exhibit 99.1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that only one statement containing the information required by Schedule 13D need be filed with respect to the ownership by each of the undersigned of the shares of Common Stock of Sera Prognostics, Inc. This Agreement may be executed in any number of

Form of Pre-Funded Warrant (incorporated by reference to Exhibit 4.1 of the Registrant’s Current Report on Form 8-K (File No. 001-40606) filed with the SEC on February 12, 2025).

EX-4.1 Exhibit 4.1 FORM OF PRE-FUNDED WARRANT TO PURCHASE CLASS A COMMON STOCK Number of Shares: [   ] (subject to adjustment) Warrant No.   Original Issue Date: [ ], 2025 SERA PROGNOSTICS, INC. Sera Prognostics, Inc., a Delaware corporation (the “Company”), hereby certifies that, for good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, [ ] or its register

Sera Prognostics Announces Proposed Public Offering

Exhibit 99.1 Sera Prognostics Announces Proposed Public Offering Salt Lake City, February 10, 2025 — Sera Prognostics, Inc., The Pregnancy Company® (“Sera” or the “Company”) (Nasdaq: SERA), which focuses on improving maternal and neonatal health by providing innovative pregnancy biomarker information to doctors and patients, today announced that it has commenced a proposed underwritten public offe

Underwriting Agreement, dated February 10, 2025, by and among Sera Prognostics, Inc. and Jefferies LLC, TD Securities (USA) LLC and William Blair & Company, L.L.C. as representatives of the several underwriters named therein.

Exhibit 1.1 Execution Version 1,250,000 Shares of Class A Common Stock Pre-Funded Warrants to Purchase Up to 11,250,000 Shares of Class A Common Stock (par value $0.001 per share) SERA PROGNOSTICS, INC. UNDERWRITING AGREEMENT February 10, 2025 JEFFERIES LLC TD SECURITIES (USA) LLC WILLIAM BLAIR & COMPANY, L.L.C. As Representatives of the several Underwriters c/o JEFFERIES LLC 520 Madison Avenue Ne

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 10, 2025 Sera Prognostic

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 10, 2025 Sera Prognostics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-40606 26-1911522 (State or Other Jurisdiction of Incorporation) (Commissio

Sera Prognostics Announces Pricing of $50 Million Public Offering

EX-99.2 Exhibit 99.2 Sera Prognostics Announces Pricing of $50 Million Public Offering Salt Lake City, February 10, 2025 — Sera Prognostics, Inc., The Pregnancy Company® (“Sera” or the “Company”) (Nasdaq: SERA), which focuses on improving maternal and neonatal health by providing innovative pregnancy biomarker information to doctors and patients, today announced the pricing of its underwritten pub

1,250,000 Shares of Class A Common Stock Pre-funded Warrants to Purchase 11,250,000 Shares of Class A Common Stock Sera Prognostics, Inc.

Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-281347 PROSPECTUS SUPPLEMENT (To Prospectus dated August 13, 2024) 1,250,000 Shares of Class A Common Stock Pre-funded Warrants to Purchase 11,250,000 Shares of Class A Common Stock Sera Prognostics, Inc. We are offering 1,250,000 shares of our Class A common stock, par value $0.0001 per share (“Class A common stock”), and, in

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 10, 2025 Sera Prognostic

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 10, 2025 Sera Prognostics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-40606 26-1911522 (State or Other Jurisdiction of Incorporation) (Commissio

Shares of Class A Common Stock Pre-funded Warrants to Purchase     Shares of Class A Common Stock Sera Prognostics, Inc.

424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-281347 The information in this preliminary prospectus supplement is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus do not constitute an offer to sell these securities, and we are not soliciting offers to buy these securities in any jurisdiction where the offer or s

This presentation contains forward-looking statements that involve substantial risks and uncertainties. All statements, other than statements of historical facts, contained in this presentation, including statements regarding our strategy, future ope

Exhibit 99.1 { WE AT SERA AIM TO CHANGE PREGNANCY CARE } In order to transform the experience into one with fewer uncertainties ©2025 Sera Prognostics, Inc. All rights reserved. PreTRM, Sera Prognostics and their logos are trademarks or registered trademarks of Sera Prognostics, Inc. in the United States. This presentation contains forward-looking statements that involve substantial risks and unce

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 31, 2025 Sera Prognostics

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 31, 2025 Sera Prognostics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-40606 26-1911522 (State or Other Jurisdiction of Incorporation) (Commission

©2025 Sera Prognostics, Inc. All rights reserved. PreTRM, Sera Prognostics and their logos are trademarks or registered trademarks of Sera Prognostics, Inc. in the United States. In order to transform the experience into one with fewer uncertainties

©2025 Sera Prognostics, Inc. All rights reserved. PreTRM, Sera Prognostics and their logos are trademarks or registered trademarks of Sera Prognostics, Inc. in the United States. In order to transform the experience into one with fewer uncertainties { WE AT SERA AIM TO CHANGE PREGNANCY CARE } This presentation contains forward-looking statements that involve substantial risks and uncertainties. Al

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 13, 2025 Sera Prognostics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-40606 26-1911522 (State or Other Jurisdiction of Incorporation) (Commission

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 06, 2025 Sera Prognostics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-40606 26-1911522 (State or Other Jurisdiction of Incorporation) (Commission

Joint Filing Agreement

EX-99.1 2 tm2427451d26ex1.htm EXHIBIT 1 EXHIBIT 1 AGREEMENT This Joint Filing Agreement, dated as of November 14, 2024 is by and among RA Capital Management, L.P., Peter Kolchinsky, Rajeev Shah, and RA Capital Healthcare Fund, L.P. (the foregoing are collectively referred to herein as the “Filers”). Each of the Filers may be required to file with the United States Securities and Exchange Commissio

SERA / Sera Prognostics, Inc. / RA CAPITAL MANAGEMENT, L.P. - SC 13G/A Passive Investment

SC 13G/A 1 tm2427451d26sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Sera Prognostics, Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 81749D107 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of thi

SERA PROGNOSTICS REPORTS THIRD QUARTER 2024 FINANCIAL RESULTS

Exhibit 99.1 SERA PROGNOSTICS REPORTS THIRD QUARTER 2024 FINANCIAL RESULTS Salt Lake City – November 6, 2024 – Sera Prognostics Inc., The Pregnancy Company® (Nasdaq: SERA), focused on improving maternal and neonatal health by providing innovative pregnancy biomarker information to doctors and patients, today announced financial results for the third quarter of 2024 ended September 30, 2024. Recent

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-40606 SERA PROGNOSTICS, INC.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 06, 2024 Sera Prognostics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-40606 26-1911522 (State or Other Jurisdiction of Incorporation) (Commissio

SERA / Sera Prognostics, Inc. / Schindel Yair Chaim - SC 13G/A Passive Investment

SC 13G/A 1 zk2432210.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 Sera Prognostics, Inc. (Name of Issuer) Class A Common Stock, Par Value $0.0001 per Share (Title of Class of Securities) 81749D107 (CUSIP Number) September 30, 2024 (Date of Event which Requires Filing of this Statement) Check the approp

Up to $50,000,000 Sera Prognostics, Inc. Class A Common Stock

Table of Contents As Filed Pursuant to Rule 424(b)(5) Registration No. 333-281347 PROSPECTUS SUPPLEMENT (To Prospectus dated August 13, 2024) Up to $50,000,000 Sera Prognostics, Inc. Class A Common Stock We have entered into an at-the-market sales agreement with TD Securities (USA) LLC, or TD Cowen, as our sales agent, relating to the shares of our Class A common stock offered by this prospectus.

Sera Prognostics, Inc. 2749 East Parleys Way, Suite 200 Salt Lake City, Utah 84109

Sera Prognostics, Inc. 2749 East Parleys Way, Suite 200 Salt Lake City, Utah 84109 August 9, 2024 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance Office of Industrial Applications and Services 100 F Street, N.E. Washington, D.C. 20549 Attention: Abby Adams RE: Sera Prognostics, Inc. Registration Statement on Form S-3 File No. 333-281347 Request for Accele

LETTER

August 8, 2024 Zhenya Lindgardt President and Chief Executive Officer Sera Prognostics, Inc.

Sales Agreement, dated as of August 7, 2024, by and between Sera Prognostics, Inc. and TD Securities (USA) LLC (incorporated by reference to Exhibit 1.2 of the Registrant’s Registration Statement on Form S-3 (File No. 333-281347) filed on August 7, 2024).

Exhibit 1.2 SERA PROGNOSTICS, INC. $50,000,000 OF SHARES OF CLASS A COMMON STOCK SALES AGREEMENT August 7, 2024 TD Securities (USA) LLC 1 Vanderbilt Avenue New York, New York 10017 Ladies and Gentlemen: Sera Prognostics, Inc. (the “Company”), confirms its agreement (this “Agreement”) with TD Securities (USA) LLC (“TD Cowen”), as follows: 1. Issuance and Sale of Shares. The Company agrees that, fro

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 7, 2024 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commission F

Form of Senior Indenture.

EX-4.6 Exhibit 4.6 Sera Prognostics, Inc. Issuer AND [ ] Trustee INDENTURE Dated as of [ ] Senior Debt Securities CROSS-REFERENCE TABLE1 Section of Trust Indenture Act of 1939, as Amended Section of Indenture 310(a). 7.09 310(b). 7.08 7.10 310(c). Inapplicable 311(a). 7.13(a) 311(b). 7.13(b) 311(c). Inapplicable 312(a) 5.02(a) 312(b). 5.02(b) 312(c). 5.02(c) 313(a). 5.04(a) 313(b). 5.04(a) 313(c).

Form of Subordinated Indenture.

EX-4.7 Exhibit 4.7 Sera Prognostics, Inc. Issuer AND [ ] Trustee INDENTURE Dated as of [ ] Subordinated Debt Securities CROSS-REFERENCE TABLE1 Section of Trust Indenture Act of 1939, as Amended Section of Indenture 310(a). 7.09 310(b). 7.08 7.10 310(c). Inapplicable 311(a). 7.13(a) 311(b). 7.13(b) 311(c). Inapplicable 312(a). 5.02(a) 312(b). 5.02(b) 312(c). 5.02(c) 313(a). 5.04(a) 313(b). 5.04(a)

SERA PROGNOSTICS REPORTS SECOND QUARTER 2024 FINANCIAL RESULTS

Exhibit 99.1 SERA PROGNOSTICS REPORTS SECOND QUARTER 2024 FINANCIAL RESULTS Salt Lake City – August 7, 2024 – Sera Prognostics Inc., The Pregnancy Company® (Nasdaq: SERA), focused on improving maternal and neonatal health by providing innovative pregnancy biomarker information to doctors and patients, today announced financial results for the second quarter of 2024 ended June 30, 2024. Recent High

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-40606 SERA PROGNOSTICS, INC.

Calculation of Filing Fee Table.

EX-FILING FEES Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Sera Prognostics, Inc.

As filed with the Securities and Exchange Commission on August 7, 2024

S-3 Table of Contents As filed with the Securities and Exchange Commission on August 7, 2024 Registration No.

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 6, 2024 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commission Fil

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2024 SERA PROGNOSTICS, INC

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2024 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commission File

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-40606 SERA PROGNOSTICS, INC.

SERA PROGNOSTICS REPORTS FIRST QUARTER 2024 FINANCIAL RESULTS

Exhibit 99.1 SERA PROGNOSTICS REPORTS FIRST QUARTER 2024 FINANCIAL RESULTS Salt Lake City – May 8, 2024 – Sera Prognostics Inc., The Pregnancy Company® (Nasdaq: SERA), focused on improving maternal and neonatal health by providing innovative pregnancy biomarker information to doctors and patients, today announced financial results for the first quarter of 2024 ended March 31, 2024. Recent Highligh

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 ___________________________ FORM 10-K ___________________________ (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal y

sera20231231ars UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-40606 SERA PROGNOSTICS, INC.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin

SERA / Sera Prognostics, Inc. / RA CAPITAL MANAGEMENT, L.P. - SC 13G Passive Investment

SC 13G 1 tm2410403d1sc13g.htm SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Sera Prognostics, Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 81749D107 (CUSIP Number) March 20, 2024 (Date of Event Which Requires Filing of this Statement) C

SERA PROGNOSTICS REPORTS FOURTH QUARTER 2023 FINANCIAL RESULTS

Exhibit 99.1 SERA PROGNOSTICS REPORTS FOURTH QUARTER 2023 FINANCIAL RESULTS Salt Lake City – March 20, 2024 – Sera Prognostics Inc., The Pregnancy Company® (Nasdaq: SERA), focused on improving maternal and neonatal health by providing innovative pregnancy biomarker information to doctors and patients, today announced financial results for the fourth quarter and full year ended December 31, 2023. R

Filing Fee Table

Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Sera Prognostics, Inc.

Amendment to Employment Agreement by and between the Registrant and Robert Gardner Harrison, dated March 18, 2024 (incorporated by reference to Exhibit 10.23 of the Registrant’s Annual Report on Form 10-K (File No. 001-40606) filed with the SEC on March 20, 2024).

Exhibit 10.23 AMENDMENT NO. 2 TO EMPLOYMENT AGREEMENT THIS AMENDMENT No. 2 (“Amendment No.2”) is made effective as of March 18, 2024 (the “Amendment No.2 Effective Date”) by and between Sera Prognostics, Inc., a Delaware corporation having an address at 2749 East Parleys Way, Suite 200, Salt Lake City, UT 84109 (“Company”) and Robert Harrison, (“Employee”), each a “Party” and collectively the “Par

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-40606 SERA PROGNOSTICS, INC.

Clawback Policy of the Registrant.

Exhibit 97.1 SERA PROGNOSTICS, INC. CLAWBACK POLICY Adopted by the Board of Directors Effective October 2, 2023 I.Introduction The Board of Directors (the “Board”) of Sera Prognostics, Inc., a Delaware corporation (the “Company”) believes that it is in the best interests of the Company and its shareholders to create and maintain a culture that emphasizes integrity and accountability and that reinf

WE AIM to change pregnancy care, to transform the experience into one with fewer uncertainties. Safe Harbor Statement This presentation contains forward-looking statements that involve substantial risks and uncertainties. All statements, other than s

sera-20240320x8kxexhibit WE AIM to change pregnancy care, to transform the experience into one with fewer uncertainties.

Amendment No. 2, dated December 6, 2023, to Side Letter with Baker Bros. Advisors LP, dated as of April 29, 2021, by and between Baker Bros. Advisors LP and the Registrant.

Exhibit 10.7.2 CERTAIN INFORMATION IDENTIFIED BY “[***]” HAS BEEN EXCLUDED FROM THE EXHIBIT BECAUSE IT IS BOTH NOT MATERIAL AND IS THE TYPE OF INFORMATION THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. AMENDMENT NO. 2 TO IPO PARTICIPATION, BOARD, OBSERVER AND [***] RIGHTS LETTER AGREEMENT THIS AMENDMENT No. 2 (“Amendment No.2”) is made effective as of December 6, 2023 (the “Amendment No.2

Amendment to Employment Agreement by and between the Registrant and John J. Boniface, dated March 18, 2024 (incorporated by reference to Exhibit 10.13 of the Registrant’s Annual Report on Form 10-K (File No. 001-40606) filed with the SEC on March 20, 2024).

Exhibit 10.13 AMENDMENT NO. 1 TO EMPLOYMENT AGREEMENT THIS AMENDMENT No. 1 (“Amendment No.1”) is made effective as of March 18, 2024 (the “Amendment No.1 Effective Date”) by and between Sera Prognostics, Inc., a Delaware corporation having an address at 2749 East Parleys Way, Suite 200, Salt Lake City, UT 84109 (“Company”) and J. Jay Boniface, Ph.D., (“Employee”), each a “Party” and collectively t

Non-Employee Director Compensation Policy.

Exhibit 10.4 Sera Prognostics, Inc. Non-Employee Director Compensation Policy Effective March 1, 2024 (“Effective Date”) Non-employee members of the board of directors (the “Board”) of Sera Prognostics, Inc. (the “Company”) shall receive cash and equity compensation as set forth in this Non-Employee Director Compensation Policy (this “Policy”). The cash and equity compensation described in this Po

Amendment to Employment Agreement by and between the Registrant and Paul Kearney, dated March 18, 2024.

Exhibit 10.18 AMENDMENT NO. 1 TO EMPLOYMENT AGREEMENT THIS AMENDMENT No. 1 (“Amendment No.1”) is made effective as of March 18, 2024 (the “Amendment No.1 Effective Date”) by and between Sera Prognostics, Inc., a Delaware corporation having an address at 2749 East Parleys Way, Suite 200, Salt Lake City, UT 84109 (“Company”) and Paul Kearney, Ph.D., (“Employee”), each a “Party” and collectively the

Amendment to Employment Agreement by and between the Registrant and Benjamin Jackson, dated March 18, 2024.

Exhibit 10.16 AMENDMENT NO. 2 TO EMPLOYMENT AGREEMENT THIS AMENDMENT No. 2 (“Amendment No.2”) is made effective as of March 18, 2024 (the “Amendment No.2 Effective Date”) by and between Sera Prognostics, Inc., a Delaware corporation having an address at 2749 East Parleys Way, Suite 200, Salt Lake City, UT 84109 (“Company”) and Benjamin Jackson, (“Employee”), each a “Party” and collectively the “Pa

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT THE SECURITIES ACT OF 1933 Sera Prognostics, Inc. (Exact name of registrant as specified in its charter)

Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Sera Prognostics, Inc. (Exact name of registrant as specified in its charter) Delaware 26-1911522 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification Number) 2749 East Parleys Way Suite 200 Salt Lak

Form of Restricted Stock Unit Agreement under the Registrant’s 2021 Equity Incentive Plan

Exhibit 10.29 SERA PROGNOSTICS, INC. Restricted Stock Unit Award Grant Notice Restricted Stock Unit Award Grant under the Company’s 2021 Equity Incentive Plan 1. Name and Address of Participant: 2. Date of Grant of Restricted Stock Unit Award: 3. Maximum Number of Shares underlying Restricted Stock Unit Award: 4. Vesting of Award: This Restricted Stock Unit Award shall vest as follows provided the

Amendment to Employment Agreement by and between the Registrant and Austin Aerts, dated March 18, 2024.

Exhibit 10.28 AMENDMENT NO. 1 TO EMPLOYMENT AGREEMENT THIS AMENDMENT No. 1 (“Amendment No.1”) is made effective as of March 18, 2024 (the “Amendment No.1 Effective Date”) by and between Sera Prognostics, Inc., a Delaware corporation having an address at 2749 East Parleys Way, Suite 200, Salt Lake City, UT 84109 (“Company”) and Austin Aerts, (“Employee”), each a “Party” and collectively the “Partie

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 20, 2024 SERA PROGNOSTICS,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 20, 2024 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commission F

SERA / Sera Prognostics, Inc. / Vivo Capital IX, LLC - AMENDMENT NO. 1 TO SCHEDULE 13G Passive Investment

SC 13G/A 1 ea193545-13ga1vivo9sera.htm AMENDMENT NO. 1 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Sera Prognostics, Inc. (Name of Issuer) Class A common stock, $ 0.0001 par value per share (Title of Class of Securities) 81749D107 (CUSIP Number) December 31, 2023 (Date of Event w

SERA / Sera Prognostics, Inc. / Domain Partners VIII, L.P. - SCHEDULE 13G/A Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b),(c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 1)1 Sera Prognostics, Inc. (Name of Issuer) Class A Common Stock, $0.0001 par value (Title of Class of Securities) 81749D107 (CUSIP Number) December 31, 2023

SERA / Sera Prognostics, Inc. / INTERWEST PARTNERS X LP - SC 13G/A Passive Investment

SC 13G/A OMB APPROVAL OMB Number: 3235-0145 Expires: February 28, 2010 Estimated average burden hours per response 10.

Joint Filing Statement

EX-99.A 2 d683967dex99a.htm EX-99.A EXHIBIT A Joint Filing Statement We, the undersigned, hereby express our agreement that the attached Schedule 13G is filed on behalf of each of us. Date: January 19, 2024 INTERWEST PARTNERS X, LP By: InterWest Management Partners X, LLC, its General Partner By: /s/ Karen A. Wilson, Power of Attorney Attorney-in-Fact INTERWEST MANAGEMENT PARTNERS X, LLC By: Karen

SERA / Sera Prognostics, Inc. / BAKER BROS. ADVISORS LP - SC 13G Passive Investment

SC 13G 1 tm242424d2sc13g.htm SC 13G SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 Under the Securities Exchange Act of 1934 (Amendment No.)* Sera Prognostics, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 81749D107 (CUSIP Number) December 31, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate bo

AGREEMENT

EX-99.1 2 tm242424d2ex99-1.htm EXHIBIT 99.1 EXHIBIT 99.1 AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that this Statement on Schedule 13G relating to the Common Stock of Sera Prognostics, Inc. is being filed with the Securities and Exchange Commission on behalf of each of them. January 10, 2024 BAKER BROS. ADVISOR

SERA / Sera Prognostics, Inc. / Schindel Yair Chaim - SC 13G/A Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 Sera Prognostics, Inc. (Name of Issuer) Class A Common Stock, Par Value $0.0001 per Share (Title of Class of Securities) 81749D107 (CUSIP Number) December 31, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pur

Entry into a Material Definitive Agreement

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 6, 2023 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commission

SERA PROGNOSTICS ANNOUNCES PRIMARY ENDPOINT CRITERIA MET IN PIVOTAL PRIME STUDY INTERIM LOOK – ENROLLMENT TO STOP DUE TO SUCCESS

Exhibit 99.1 SERA PROGNOSTICS ANNOUNCES PRIMARY ENDPOINT CRITERIA MET IN PIVOTAL PRIME STUDY INTERIM LOOK – ENROLLMENT TO STOP DUE TO SUCCESS SALT LAKE CITY, UT – December 6, 2023 – Sera Prognostics Inc., The Pregnancy Company® (Nasdaq: SERA), focused on improving maternal and neonatal health by providing innovative pregnancy biomarker information to doctors and patients, today announced that the

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 6, 2023 SERA PROGNOSTICS

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 6, 2023 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commission

Employment Agreement by and between the Registrant and Austin Aerts, dated November 6, 2023 (incorporated by reference to Exhibit 10.2 of the Registrant’s Quarterly Report on Form 10-Q (File No. 001-40606) filed with the SEC on November 8, 2023).

Exhibit 10.2 SERA PROGNOSTICS, INC. EMPLOYMENT AGREEMENT This Employment Agreement (this “Agreement”) is entered into as of November 6, 2023 and, except as expressly provided otherwise, effective for all purposes as of June 7, 2023 (the “Effective Date”), by and between Sera Prognostics, Inc., a Delaware corporation (the “Company”), and Austin Aerts (“Employee”). WHEREAS, the Company employed Empl

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 8, 2023 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commission

SERA PROGNOSTICS REPORTS THIRD QUARTER 2023 FINANCIAL RESULTS

Exhibit 99.1 SERA PROGNOSTICS REPORTS THIRD QUARTER 2023 FINANCIAL RESULTS Salt Lake City – November 8, 2023 – Sera Prognostics Inc., The Pregnancy Company® (Nasdaq: SERA), focused on improving maternal and neonatal health by providing innovative pregnancy biomarker information to doctors and patients, today announced financial results for the third quarter of 2023 ended September 30, 2023. Recent

Form of Restricted Stock Unit Agreement under the Registrant

Exhibit 10.3 SERA PROGNOSTICS, INC. Restricted Stock Unit Award Grant Notice Restricted Stock Unit Award Grant under the Company’s 2021 Equity Incentive Plan 1. Name and Address of Participant: 2. Date of Grant of Restricted Stock Unit Award: 3. Maximum Number of Shares underlying Restricted Stock Unit Award: 4. Vesting of Award: This Restricted Stock Unit Award shall vest as follows provided the

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-40606 SERA PROGNOSTICS, INC.

Employment Agreement by and between the Registrant and Evguenia (Zhenya) Lindgardt, dated November 6, 2023 (incorporated by reference to Exhibit 10.1 of the Registrant’s Quarterly Report on Form 10-Q (File No. 001-40606) filed with the SEC on November 8, 2023).

Exhibit 10.1 SERA PROGNOSTICS, INC. EMPLOYMENT AGREEMENT This Employment Agreement (this “Agreement”) is dated as November 6, 2023 (the “Effective Date”), by and between Sera Prognostics, Inc., a Delaware corporation (the “Company”), and Evguenia Lindgardt (the “Employee”). WHEREAS, the Company’s Board of Directors (the “Board”) adopted resolutions on May 14, 2023 to accept Gregory C. Critchfield’

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 25, 2023 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commissi

©2023 Sera Prognostics, Inc. All rights reserved. PreTRM, Sera Prognostics and their logos are trademarks or registered trademarks of Sera Prognostics, Inc. in the United States. Sera Prognostics Update September 25, 2023 Disclaimer ©2023 Sera Progno

©2023 Sera Prognostics, Inc. All rights reserved. PreTRM, Sera Prognostics and their logos are trademarks or registered trademarks of Sera Prognostics, Inc. in the United States. Sera Prognostics Update September 25, 2023 Disclaimer ©2023 Sera Prognostics, Inc. All rights reserved. PreTRM, Sera Prognostics and their logos are trademarks or registered trademarks of Sera Prognostics, Inc. in the Uni

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 9, 2023 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commission F

Consulting Agreement by and between the Registrant and Michael R. Foley, M.D., dated July 1, 2023.

Exhibit 10.2 CONSULTING AGREEMENT This agreement (the “Agreement”) is entered into effective as of July 1, 2023 (the “Effective Date”), between Sera Prognostics Inc. (the “Company”), with a business address at 2749 East Parleys Way, Suite 200, Salt Lake City, UT 84109, and Michael Foley (the “Consultant”). Company and Consultant may be referred to herein individually as a “Party” or collectively a

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-40606 SERA PROGNOSTICS, INC.

SERA PROGNOSTICS REPORTS SECOND QUARTER 2023 FINANCIAL RESULTS

Exhibit 99.1 SERA PROGNOSTICS REPORTS SECOND QUARTER 2023 FINANCIAL RESULTS Salt Lake City – August 9, 2023 – Sera Prognostics Inc., The Pregnancy Company® (Nasdaq: SERA), focused on improving maternal and neonatal health by providing innovative pregnancy biomarker information to doctors and patients, today announced financial results for the second quarter of 2023 ended June 30, 2023. Recent High

Retirement and Transition Agreement by and between the Registrant and Gregory C. Critchfield, M.D., dated May 15, 2023.

Exhibit 10.1 RETIREMENT AND TRANSITION AGREEMENT This Retirement and Transition Agreement (the “Agreement”) is entered into between Sera Prognostics, Inc. (together with its subsidiaries, affiliates, successors and assigns, the “Company”), and Gregory C. Critchfield, M.D. (“Dr. Critchfield”) (Dr. Critchfield, together with the Company, the “Parties” and each a “Party”), and shall be effective as o

Third Amendment to Lease, effective as of July 25, 2023, by and between Eastland Regency, L.C. and the Registrant (incorporated by reference to Exhibit 10.3 of the Registrant’s Quarterly Report on Form 10-Q (File No. 001-40606) filed with the SEC on August 9, 2023).

Exhibit 10.3 THIRD AMENDMENT TO LEASE This Third Amendment to Lease (“Third Amendment”) is entered into as of the 25th day of July 2023 (“Effective Date”), by and between EASTLAND REGENCY, L.C., a Utah limited liability company (“Landlord”), and SERA PROGNOSTICS, INC., a Delaware corporation (“Tenant”). RECITALS WHEREAS, Landlord and Tenant entered into that certain Lease dated August 1, 2017 (“Le

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 13, 2023 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commission Fi

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 8, 2023 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commission Fil

Certificate of Amendment to Amended and Restated Certificate of Incorporation of Sera Prognostics, Inc., dated June 9, 2023 (incorporated by reference to Exhibit 3.1 of the Registrant’s Current Report on Form 8-K (File No. 001-40606) filed with the SEC on June 14, 2023).

Exhibit 3.1 CERTIFICATE OF AMENDMENT OF THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF SERA PROGNOSTICS, INC. Sera Prognostics, Inc. (the “Corporation”), a corporation organized and existing under the laws of the State of Delaware, does hereby certify as follows: FIRST: That the name of the Corporation is Sera Prognostics, Inc. SECOND: That the Board of Directors of the Corporation duly

Sera Prognostics Announces Commercial Changes and Actions to Optimize Business for Market Success Toward Accelerating Test Adoption and Revenue

Exhibit 99.1 Sera Prognostics Announces Commercial Changes and Actions to Optimize Business for Market Success Toward Accelerating Test Adoption and Revenue Aligning Management Team given New Refined Commercial Focus on Institutions Starting with Recent Appointment of Board Member Zhenya Lindgardt as Interim President and CEO Engages Leading Strategy House to Evaluate Best Pathways Toward Targetin

Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 22, 2023 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commission Fil

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2023 SERA PROGNOSTICS, IN

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2023 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commission Fil

Sera Prognostics Announces Retirement of President and CEO Dr. Greg Critchfield and Appointment of Board Member Zhenya Lindgardt as Interim CEO

Exhibit 99.1 Sera Prognostics Announces Retirement of President and CEO Dr. Greg Critchfield and Appointment of Board Member Zhenya Lindgardt as Interim CEO SALT LAKE CITY, UT – May 15, 2023 – Sera Prognostics Inc., The Pregnancy Company® (NASDAQ: SERA), focused on improving maternal and neonatal health by providing innovative pregnancy biomarker information to doctors and patients, today announce

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 14, 2023 SERA PROGNOSTICS, IN

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 14, 2023 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commission Fil

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-40606 SERA PROGNOSTICS, INC.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 10, 2023 SERA PROGNOSTICS, IN

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 10, 2023 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commission Fil

SERA PROGNOSTICS REPORTS FIRST QUARTER 2023 FINANCIAL RESULTS

Exhibit 99.1 SERA PROGNOSTICS REPORTS FIRST QUARTER 2023 FINANCIAL RESULTS Salt Lake City – May 10, 2023 – Sera Prognostics Inc., The Pregnancy Company® (Nasdaq: SERA), focused on improving maternal and neonatal health by providing innovative pregnancy biomarker information to doctors and patients, today announced financial results for the first quarter of 2023 ended March 31, 2023. Recent Highlig

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

DEF 14A 1 a2023seraproxy-definitive.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 ___________________________ FORM 10-K ___________________________ (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal y

sera20221231ars UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-40606 SERA PROGNOSTICS, INC.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin

Filing Fee Table

Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Sera Prognostics, Inc.

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 22, 2023 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commission F

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-40606 SERA PROGNOSTICS, INC.

SERA PROGNOSTICS REPORTS FOURTH QUARTER 2022 FINANCIAL RESULTS

Exhibit 99.1 SERA PROGNOSTICS REPORTS FOURTH QUARTER 2022 FINANCIAL RESULTS Salt Lake City – March 22, 2023 – Sera Prognostics Inc., The Pregnancy Company® (Nasdaq: SERA), focused on improving maternal and neonatal health by providing innovative pregnancy biomarker information to doctors and patients, today announced financial results for the fourth quarter and full year 2022 ended December 31, 20

Amendment No. 1, dated February 16, 2023, to Side Letter with Baker Bros. Advisors LP, dated as of April 29, 2021, by and between Baker Bros. Advisors LP and the Registrant (incorporated by reference to Exhibit 10.8 of the Registrant’s Annual Report on Form 10-K (File No. 001-40606) filed with the SEC on March 22, 2023).

Exhibit 10.8 CERTAIN INFORMATION IDENTIFIED BY “[***]” HAS BEEN EXCLUDED FROM THE EXHIBIT BECAUSE IT IS BOTH NOT MATERIAL AND IS THE TYPE OF INFORMATION THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. AMENDMENT NO. 1 TO IPO PARTICIPATION, BOARD, OBSERVER AND [***] RIGHTS LETTER AGREEMENT THIS AMENDMENT No. 1 (“Amendment No. 1”) is made effective as of February 16, 2023 (the “Amendment No. 1

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT THE SECURITIES ACT OF 1933 Sera Prognostics, Inc. (Exact name of registrant as specified in its charter)

Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Sera Prognostics, Inc. (Exact name of registrant as specified in its charter) Delaware 26-1911522 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification Number) 2749 East Parleys Way Suite 200 Salt Lak

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 10, 2023 SERA PROGNOSTICS,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 10, 2023 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commission F

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 16, 2023 SERA PROGNOSTIC

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 16, 2023 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commissio

Joint Filing Statement

EX-99.A 2 d461216dex99a.htm EX-99.A EXHIBIT A Joint Filing Statement We, the undersigned, hereby express our agreement that the attached Schedule 13G is filed on behalf of each of us. Date: February 10, 2023 INTERWEST PARTNERS X, LP By: InterWest Management Partners X, LLC, its General Partner By: /s/ Karen A. Wilson, Power of Attorney Attorney-in-Fact INTERWEST MANAGEMENT PARTNERS X, LLC By: Kare

SERA / Sera Prognostics, Inc. Class A / INTERWEST PARTNERS X LP - SC 13G/A Passive Investment

SC 13G/A 1 d461216dsc13ga.htm SC 13G/A OMB APPROVAL OMB Number: 3235-0145 Expires: February 28, 2010 Estimated average burden hours per response 10.4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (AMENDMENT NO 1)* Sera Prognostics, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 81749D107 (CU

SERA / Sera Prognostics, Inc. Class A / Schindel Yair Chaim - SC 13G/A Passive Investment

SC 13G/A 1 zk2328986.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 Sera Prognostics, Inc. (Name of Issuer) Class A Common Stock, Par Value $0.0001 per Share (Title of Class of Securities) 81749D107 (CUSIP Number) December 31, 2022 (Date of Event which Requires Filing of this Statement) Check the appropr

Second Amendment to Lease, effective October 10, 2022, by and between Eastland Regency, L.C. and the Registrant (incorporated by reference to Exhibit 10.1 of the Registrant’s Quarterly Report on Form 10-Q (File No. 001-40606) filed with the SEC on November 9, 2022).

Exhibit 10.1 SECOND AMENDMENT TO LEASE This Second Amendment to Lease (?Second Amendment?) is entered into as of the 10th day of October 2022 (?Effective Date?), by and between EASTLAND REGENCY, L.C., a Utah limited liability company (?Landlord?), and SERA PROGNOSTICS, INC., a Delaware corporation (?Tenant?). RECITALS WHEREAS, Landlord and Tenant entered into that certain Lease dated August 1, 201

SERA PROGNOSTICS REPORTS THIRD QUARTER 2022 FINANCIAL RESULTS

Exhibit 99.1 SERA PROGNOSTICS REPORTS THIRD QUARTER 2022 FINANCIAL RESULTS Salt Lake City – November 9, 2022 – Sera Prognostics Inc., The Pregnancy Company® (Nasdaq: SERA), focused on improving maternal and neonatal health by providing innovative pregnancy biomarker information to doctors and patients, today announced financial results for the third quarter ended September 30, 2022. Recent Highlig

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2022 SERA PROGNOSTICS

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2022 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commission

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-40606 SERA PROGNOSTICS, INC.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-40606 SERA PROGNOSTICS, INC.

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 10, 2022 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commission

SERA PROGNOSTICS REPORTS SECOND QUARTER 2022 FINANCIAL RESULTS

Exhibit 99.1 SERA PROGNOSTICS REPORTS SECOND QUARTER 2022 FINANCIAL RESULTS Salt Lake City ? August 10, 2022 ? Sera Prognostics Inc., The Pregnancy Company? (Nasdaq: SERA), focused on improving maternal and neonatal health by providing innovative pregnancy biomarker information to doctors and patients, today announced financial results for the second quarter ended June 30, 2022. Recent Highlights:

SERA / Sera Prognostics, Inc. Class A / Blue Ox Healthcare Partners, LLC - AMENDMENT NO. 1 TO SCHEDULE 13G Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Under the Securities Exchange Act of 1934 (Amendment No. 1) Sera Prognostics, Inc. (Name of Issuer) Class A common stock, par value $ 0.0001 per share (Title of Class of Securities) 81749D107 (CUSIP Number) 07/18/2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 8, 2021 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commissi

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 29, 2021 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commiss

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 11, 2022 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commission

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 3, 2022 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commission Fil

SERA / Sera Prognostics, Inc. Class A / Blue Ox Healthcare Partners, LLC - SCHEDULE 13G Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Under the Securities Exchange Act of 1934 (Amendment No. ) Sera Prognostics, Inc. (Name of Issuer) Class A common stock, par value $ 0.0001 per share (Title of Class of Securities) 81749D107 (CUSIP Number) 12/31/2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box t

SERA PROGNOSTICS REPORTS FIRST QUARTER 2022 FINANCIAL RESULTS

Exhibit 99.1 SERA PROGNOSTICS REPORTS FIRST QUARTER 2022 FINANCIAL RESULTS Salt Lake City ? May 10, 2022 ? Sera Prognostics Inc., The Pregnancy Company? (Nasdaq: SERA), focused on improving maternal and neonatal health by providing innovative pregnancy biomarker information to doctors and patients, today announced financial results for the first quarter ended March 31, 2022. Recent Highlights: ?Si

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 10, 2022 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commission Fil

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-40606 SERA PROGNOSTICS, INC.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

DEF 14A 1 a2022seraproxy.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule

Exhibit 99.1 SERA PROGNOSTICS ANNOUNCES THE APPOINTMENT OF DR. JANE F. BARLOW TO THE SERA PROGNOSTICS BOARD ‐ Accomplished business and health services leader joins Sera in its quest to improve pregnancy outcomes of mothers and babies ‐ Salt Lake Cit

Exhibit 99.1 SERA PROGNOSTICS ANNOUNCES THE APPOINTMENT OF DR. JANE F. BARLOW TO THE SERA PROGNOSTICS BOARD ? Accomplished business and health services leader joins Sera in its quest to improve pregnancy outcomes of mothers and babies ? Salt Lake City, Apr. 12, 2022 (PR NEWSWIRE) ?? Sera Prognostics Inc., The Pregnancy Company? (NASDAQ: SERA), focused on improving maternal and neonatal health by p

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 11, 2022 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commission F

Filing Fee Table

Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Sera Prognostics, Inc.

Amendment to Employment Agreement by and between the Registrant and Robert Gardner Harrison, dated May 20, 2021 (incorporated by reference to Exhibit 10.20 of the Registrant’s Annual Report on Form 10-K (File No. 001-40606) filed with the SEC on March 29, 2022).

Exhibit 10.20 May 20, 2021 Robert G. Harrison 1161 Eaglewood Loop North Salt Lake, UT 84054 Re: 1st Amendment to Employment Agreement for Robert G. Harrison dated March 30, 2021 Dear Rob: This letter is an amendment (the ?Amendment No.1?) to the Employment Agreement between you and Sera Prognostics, Inc. dated March 30, 2021 (the ?Employment Agreement?) for the purpose of amending your bonus perce

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-40606 SERA PROGNOSTICS, INC.

Amendment to Employment Agreement by and between the Registrant and Benjamin Jackson, dated May 20, 2021 (incorporated by reference to Exhibit 10.15 of the Registrant’s Annual Report on Form 10-K (File No. 001-40606) filed with the SEC on March 29, 2022).

Exhibit 10.15 May 20, 2021 Benjamin G. Jackson 2863 E Oquirrh Dr Salt Lake City, UT 84108 Re: 1st Amendment to Employment Agreement for Benjamin G. Jackson dated April 13, 2021 Dear Ben: This letter is an amendment (the ?Amendment No.1?) to the Employment Agreement between you and Sera Prognostics, Inc. dated April 13, 2021 (the ?Employment Agreement?) for the purpose of amending your bonus percen

Consulting Agreement by and between the Registrant and Douglas Fisher, dated January 10, 2022 (incorporated by reference to Exhibit 10.11 of the Registrant’s Annual Report on Form 10-K (File No. 001-40606) filed with the SEC on March 29, 2022).

Exhibit 10.11 Consulting Agreement CONSULTING AGREEMENT THIS AGREEMENT (the ?Agreement?) is entered into effective as of January 10, 2022 (the ?Effective Date?), between Sera Prognostics Inc. (the ?Company?), with a business address at 2749 East Parleys Way, Suite 200, Salt Lake City, UT 84109, and Douglas Fisher, MD (the ?Consultant?), with a business address at 587 Patrol Rd, Woodside, CA 94062.

SERA PROGNOSTICS REPORTS FOURTH QUARTER 2021 FINANCIAL RESULTS

EX-99.1 2 sera-20220329x8kxexhibit991.htm EX-99.1 Exhibit 99.1 SERA PROGNOSTICS REPORTS FOURTH QUARTER 2021 FINANCIAL RESULTS Salt Lake City – March 29, 2022 – Sera Prognostics Inc., The Pregnancy Company® (Nasdaq: SERA), focused on improving maternal and neonatal health by providing innovative pregnancy biomarker information to doctors and patients, today announced financial results for the fourt

Description of Securities (incorporated by reference to Exhibit 4.6 of the Registrant’s Annual Report on Form 10-K (File No. 001-40606) filed with the SEC on March 29, 2022).

Exhibit 4.6 DESCRIPTION OF REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED Sera Prognostics, Inc. has one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the ?Exchange Act?): our Class A common stock, par value $0.0001 per share. Unless the context otherwise requires, all references to

First Amendment to Lease, effective as of June 7, 2021, by and between Eastland Regency, L.C. and the Registrant (incorporated by reference to Exhibit 10.22 of the Registrant’s Annual Report on Form 10-K (File No. 001-40606) filed with the SEC on March 29, 2022).

Exhibit 10.22 FIRST AMENDMENT TO LEASE This First Amendment to Lease (?First Amendment?) is entered into as of the 7th day of June 2021 (?Effective Date?), by and between EASTLAND REGENCY, LC., a Utah limited liability company (?Landlord?), and SERA PROGNOSTICS, INC., a Delaware corporation (?Tenant?). RECITALS WHEREAS, Landlord and Tenant entered into that certain Lease dated August 1, 2017 (?Lea

Amendment to Employment Agreement by and between the Registrant and Michael Foley, dated December 30, 2021 (incorporated by reference to Exhibit 10.18 of the Registrant’s Annual Report on Form 10-K (File No. 001-40606) filed with the SEC on March 29, 2022).

Exhibit 10.18 SERA PROGNOSTICS, INC. EMPLOYMENT AGREEMENT ? AMENDMENT This Amendment (this ?Amendment?) is effective for all purposes as of October 29, 2021 (the ?Amendment Effective Date?) to amend the Employment Agreement (the ?Agreement?) by and between Sera Prognostics, Inc., a Delaware corporation (the ?Company?), and Michael Foley, MD (the ?Employee?). 1.The opening paragraph of the Agreemen

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 29, 2022 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commission F

Employment Agreement by and between the Registrant and Michael Foley, dated January 3, 2022 (incorporated by reference to Exhibit 10.17 of the Registrant’s Annual Report on Form 10-K (File No. 001-40606) filed with the SEC on March 29, 2022).

Exhibit 10.17 SERA PROGNOSTICS, INC. EMPLOYMENT AGREEMENT This Employment Agreement (this ?Agreement?) is effective for all purposes as of January 3, 2022 (the ?Effective Date?), by and between Sera Prognostics, Inc., a Delaware corporation (the ?Company?), and Michael Foley, MD (the ?Employee?). NOW, THEREFORE, in consideration of the mutual covenants, conditions and undertakings set forth herein

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT THE SECURITIES ACT OF 1933 Sera Prognostics, Inc. (Exact name of registrant as specified in its charter)

Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Sera Prognostics, Inc. (Exact name of registrant as specified in its charter) Delaware 26-1911522 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification Number) 2749 East Parleys Way Suite 200 Salt Lak

Employment Agreement by and between the Registrant and Robert Gardner Harrison, dated March 30, 2021 (incorporated by reference to Exhibit 10.19 of the Registrant’s Annual Report on Form 10-K (File No. 001-40606) filed with the SEC on March 29, 2022).

Exhibit 10.19 FINAL SERA PROGNOSTICS, INC. EMPLOYMENT AGREEMENT This Employment Agreement (this ?Agreement?) is effective for all purposes as of March 30, 2021 (the ?Effective Date?), by and between Sera Prognostics, Inc., a Delaware corporation (the ?Company?), and Robert G. Harrison (the ?Employee?). NOW, THEREFORE, in consideration of the mutual covenants, conditions and undertakings set forth

SERA / Sera Prognostics, Inc. Class A / Anthem, Inc. - SC 13G Passive Investment

SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Sera Prognostics, Inc. (Name of Issuer) Class A Common Stock, $0.0001 par value per share (Title of Class of Securities) 81749D107 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to

JOINT FILING AGREEMENT

Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to certain shares of the Class A common stock of Sera Prognostics, Inc. and further agree that this Joint Filing Agreement shall be i

SERA / Sera Prognostics, Inc. Class A / INTERWEST PARTNERS X LP - SC 13G Passive Investment

SC 13G OMB APPROVAL OMB Number: 3235-0145 Expires: February 28, 2010 Estimated average burden hours per response 10.

Joint Filing Statement

EXHIBIT A Joint Filing Statement We, the undersigned, hereby express our agreement that the attached Schedule 13G is filed on behalf of each of us.

SERA / Sera Prognostics, Inc. Class A / Schindel Yair Chaim - SC 13G Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Sera Prognostics, Inc. (Name of Issuer) Class A Common Stock, Par Value $0.0001 per Share (Title of Class of Securities) 81749D107 (CUSIP Number) December 31, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursu

SERA / Sera Prognostics, Inc. Class A / Domain Partners VIII, L.P. - SCHEDULE 13G Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b),(c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. )1 SERA PROGNOSTICS, INC. (Name of Issuer) Class A Common Stock, $0.0001 par value (Title of Class of Securities) 81749D107 (CUSIP Number) December 31, 2021 (

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 29, 2021 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commissio

Exhibit 99.1 SERA PROGNOSTICS ANNOUNCES THE APPOINTMENT OF SANDRA A.J. LAWRENCE TO THE SERA PROGNOSTICS BOARD Highly respected healthcare and financial leader joins Sera in its quest to improve pregnancy outcomes of mothers and babies Salt Lake City,

Exhibit 99.1 SERA PROGNOSTICS ANNOUNCES THE APPOINTMENT OF SANDRA A.J. LAWRENCE TO THE SERA PROGNOSTICS BOARD Highly respected healthcare and financial leader joins Sera in its quest to improve pregnancy outcomes of mothers and babies Salt Lake City, Nov. 30, 2021 (PR NEWSWIRE) - Sera Prognostics Inc., The Pregnancy Company? (NASDAQ: SERA), focused on improving maternal and neonatal health by prov

SERA PROGNOSTICS REPORTS THIRD QUARTER 2021 FINANCIAL RESULTS

Exhibit 99.1 SERA PROGNOSTICS REPORTS THIRD QUARTER 2021 FINANCIAL RESULTS Salt Lake City ? November 9, 2021 ? Sera Prognostics Inc., The Pregnancy Company? (Nasdaq: SERA), focused on improving maternal and neonatal health by providing innovative pregnancy biomarker information to doctors and patients, today announced financial results for the third quarter ended September 30, 2021. Recent Highlig

Non-Employee Director Compensation Policy.

Exhibit 10.2 Sera Prognostics, Inc. Non-Employee Director Compensation Policy Non-employee members of the board of directors (the ?Board?) of Sera Prognostics, Inc. (the ?Company?) shall receive cash and equity compensation as set forth in this Non-Employee Director Compensation Policy (this ?Policy?). The cash and equity compensation described in this Policy shall be paid or issued, as applicable

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2021 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commission

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-40606 SERA PROGNOSTICS, INC.

Employment Agreement by and between the Registrant and Paul Kearney, dated October 1, 2021.

Exhibit 10.1 SERA PROGNOSTICS, INC. EMPLOYMENT AGREEMENT This Employment Agreement (this ?Agreement?) is effective for all purposes as of October 1, 2021 (the ?Effective Date?), by and between Sera Prognostics, Inc., a Delaware corporation (the ?Company?), and Paul Kearney, Ph.D. (the ?Employee?). NOW, THEREFORE, in consideration of the mutual covenants, conditions and undertakings set forth herei

Exhibit 99.1 SERA PROGNOSTICS ANNOUNCES THE APPOINTMENT OF ZHENYA LINDGARDT TO THE BOARD Noted healthcare and technology executive joins to help Sera achieve its vision as The Pregnancy Company® to improve maternal and newborn health Salt Lake City,

Exhibit 99.1 SERA PROGNOSTICS ANNOUNCES THE APPOINTMENT OF ZHENYA LINDGARDT TO THE BOARD Noted healthcare and technology executive joins to help Sera achieve its vision as The Pregnancy Company? to improve maternal and newborn health Salt Lake City, Nov. 8, 2021 (PR NEWSWIRE) - Sera Prognostics Inc., The Pregnancy Company? (NASDAQ: SERA), focused on improving maternal and neonatal health by provid

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 8, 2021 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commission

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? ? ? ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 ? For the quarterly period ended June 30, 2021 ? OR ? ? ? ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 ? Commission File Number: 001-40606 SERA PROGNOSTICS, INC.

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 30, 2021 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-40606 26-1911522 (State or other jurisdiction of incorporation) (Commission

SERA PROGNOSTICS REPORTS SECOND QUARTER 2021 FINANCIAL RESULTS

Exhibit 99.1 SERA PROGNOSTICS REPORTS SECOND QUARTER 2021 FINANCIAL RESULTS Salt Lake City ? August 30, 2021 ? Sera Prognostics Inc., The Pregnancy Company? (Nasdaq: SERA), focused on improving maternal and neonatal health by providing innovative pregnancy biomarker information to doctors and patients, today announced financial results for the second quarter ended June 30, 2021. Recent Highlights:

As filed with the Securities and Exchange Commission on August 10, 2021

As filed with the Securities and Exchange Commission on August 10, 2021 Registration No.

Lockup Agreement

Exhibit 4.4 Sera Prognostics, Inc. Public Offering of Common Stock , 2021 Citigroup Global Markets Inc. Cowen and Company, LLC William Blair & Company, L.L.C. As Representatives of the several Underwriters c/o Citigroup Global Markets Inc. 388 Greenwich Street New York, New York 10013 c/o Cowen and Company, LLC 599 Lexington Avenue New York, New York 10022 c/o William Blair & Company, L.L.C. 150 N

Power of Attorney, dated July 21, 2021, made by Marcin Czernik and Chione Ltd. in favor of Shalom Leaf

EX-24.1 3 ea144731ex24-1serapro.htm POWER OF ATTORNEY, DATED JULY 21, 2021, MADE BY MARCIN CZERNIK AND CHIONE LTD. IN FAVOR OF SHALOM LEAF Exhibit 24.1 LIMITED POWER OF ATTORNEY The undersigned, Marcin Czernik, hereby appoints Shalom Leaf as his attorney-in-fact (i) for and on behalf of the undersigned, including, without limitation, in my current or future capacity as a director and, if applicabl

Power of Attorney, dated July 21, 2021, made by Wiaczeslaw Smolokowski in favor of Shalom Leaf

EX-24.4 6 ea144731ex24-4serapro.htm POWER OF ATTORNEY, DATED JULY 21, 2021, MADE BY WIACZESLAW SMOLOKOWSKI IN FAVOR OF SHALOM LEAF Exhibit 24.4 LIMITED POWER OF ATTORNEY The undersigned, Wiaczeslaw Smolokowski, hereby appoints Shalom Leaf as his attorney-in-fact for and on behalf of the undersigned, in respect of (A) any current or future direct or indirect beneficial ownership of, or pecuniary in

Power of Attorney, dated July 21, 2021, made by Andreas Hadjimichael and Chione Ltd. in favor of Shalom Leaf

EX-24.2 4 ea144731ex24-2serapro.htm POWER OF ATTORNEY, DATED JULY 21, 2021, MADE BY ANDREAS HADJIMICHAEL AND CHIONE LTD. IN FAVOR OF SHALOM LEAF Exhibit 24.2 LIMITED POWER OF ATTORNEY The undersigned, Andreas Hadjimichael, hereby appoints Shalom Leaf as his attorney-in-fact (i) for and on behalf of the undersigned, including, without limitation, in my current or future capacity as a director and,

SERA / Sera Prognostics, Inc. Class A / Chione Ltd - SCHEDULE 13D Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Sera Prognostics, Inc. (Name of Company) Class A Common Stock (Title of Class of Securities) 81749D107 (CUSIP Number) Shalom Leaf, Esq. 825 West End Avenue, 8A New York, NY 10025 (917) 922-8719 (Name, Address and Telephone Number of Person Authorized to R

Power of Attorney, dated July 21, 2021, made by Anastasios Nikolaou and Chione Ltd. in favor of Shalom Leaf

Exhibit 24.3 LIMITED POWER OF ATTORNEY The undersigned, Anastasios Nikolaou, hereby appoints Shalom Leaf as his attorney-in-fact (i) for and on behalf of the undersigned, including, without limitation, in my current or future capacity as a director and, if applicable, as an officer of Chione Limited (the ?Company?), and (ii) for and on behalf of the Company, in each case, in respect of (A) any cur

JOINT FILING AGREEMENT

Exhibit 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that the Schedule 13D, dated as of July 26, 2021, with respect to the Class A Common Stock of Sera Pharmaceuticals, Inc. is, and any amendments thereto signed by each of the undersigned shall be, filed on behalf of each of us pursuant to and in accordance with the provisions of Rule 13d-1(f) under the Securities Exchange Act of 1934.

SERA / Sera Prognostics, Inc. Class A / Vivo Capital IX, LLC - SCHEDULE 13G Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Sera Prognostics, Inc. (Name of Issuer) Class A common stock, par value $ 0.0001 per share (Title of Class of Securities) 81749D107 (CUSIP Number) July 19, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Other Events, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 19, 2021 SERA PROGNOSTICS, INC. (Exact name of registrant as specified in its charter) Delaware 021-169017 26-1911522 (State or other jurisdiction of incorporation) (Commission F

Restated Bylaws of Sera Prognostics, Inc. (incorporated by reference to Exhibit 3.2 of the Registrant’s Current Report on Form 8-K (File No. 001-40606) filed with the SEC on July 20, 2021).

Exhibit 3.2 SERA PROGNOSTICS, INC. AMENDED AND RESTATED BYLAWS (Effective as of July 19, 2021) ARTICLE I - STOCKHOLDERS Section 1. Annual Meeting. An annual meeting of the stockholders of Sera Prognostics, Inc. (the ?Corporation?), for the election of directors to succeed those whose terms expire and for the transaction of such other business as may properly come before the meeting, shall be held

Amended and Restated Certificate of Incorporation of Sera Prognostics, Inc., as amended (incorporated by reference to Exhibit 3.1 of the Registrant’s Current Report on Form 8-K (File No. 001-40606) filed with the SEC on July 20, 2021).

Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF SERA PROGNOSTICS, INC. (Pursuant to Sections 242 and 245 of the General Corporation Law of the State of Delaware) Sera Prognostics, Inc., a corporation organized and existing under the laws of the State of Delaware (the ?Corporation?), hereby certifies as follows: The Certificate of Incorporation of the Corporation was filed with the

4,687,500 SHARES CLASS A COMMON STOCK

TABLE OF CONTENTS ?Filed Pursuant to Rule 424(b)(4) ?Registration No. 333-257038? PROSPECTUS 4,687,500 SHARES CLASS A COMMON STOCK ? This is an initial public offering of shares of Class A common stock of Sera Prognostics, Inc. We are selling 4,687,500 shares of our Class A common stock. The initial public offering price is $16.00 per share of Class A common stock. We have granted the underwriters

CERT

The Nasdaq Stock Market LLC, 805 King Farm Blvd., Rockville, MD 20850 Eun Ah Choi Vice President, Listing Qualifications Deputy General Counsel July 14, 2021 Division of Corporation Finance U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Division of Corporation Finance: This is to certify that on July 14, 2021 The Nasdaq Stock Market LLC (the "Exchange") received