Filing Analysis
Sera Prognostics, Inc. announced a planned leadership transition in its finance department. Scott Gleason will succeed Austin Aerts as Chief Financial Officer and Treasurer, effective August 31, 2026.
🚩 Red Flags
- Succession of a CFO can sometimes signal internal volatility, though the company explicitly denies any disagreement.
📋 Key Facts
- Scott Gleason appointed as CFO and Treasurer, effective August 31, 2026.
- Austin Aerts is stepping down as CFO and Treasurer, effective August 31, 2026; the company states this is not due to any disagreement.
- Gleason's compensation includes a $400,000 base salary, a 40% target bonus, and a $500,000 initial equity award (50% RSUs / 50% stock options) vesting over four years.
- Aerts will receive severance including nine months of base salary ($354,921.75) and nine months of COBRA coverage.
- Aerts will enter into a consulting agreement starting September 8, 2026, at a rate of $375 per hour for a 12-month term.
Sera Prognostics, Inc. filed an 8-K to announce its financial results and business highlights for the second quarter ended June 30, 2026.
📋 Key Facts
- Report date: August 12, 2026
- Reporting period: Second Quarter ended June 30, 2026
- The filing includes a press release (Exhibit 99.1) detailing financial results and business highlights.
- Company is an emerging growth company.
Sera Prognostics, Inc. announced the appointment of Mark Capone to its Board of Directors and Compensation Committee, effective July 1, 2026. Mr. Capone is a highly experienced healthcare executive with a significant track record in scaling molecular diagnostics companies.
📋 Key Facts
- Mark Capone appointed as Class II director and member of the Compensation Committee, effective July 1, 2026.
- Capone's term expires at the 2029 annual meeting of stockholders.
- Compensation includes an equity award with a grant date fair value of $167,072 (options/RSUs) and subsequent annual awards.
- Capone previously served as CEO of Myriad Genetics, where he grew revenue from $14M to $850M.
Sera Prognostics, Inc. reported the results of its 2026 Annual Meeting of Stockholders held on June 4, 2026. Stockholders elected two Class II directors and ratified the appointment of Ernst & Young LLP as the independent auditor for the 2026 fiscal year.
📋 Key Facts
- Annual Meeting held on June 4, 2026, via live audio webcast.
- Quorum established with 25,773,203 shares present or represented by proxy (67.5% of 38,190,966 outstanding shares).
- Kim Kamdar, Ph.D. and Sandra A. J. Lawrence were elected as Class II directors for three-year terms.
- Ernst & Young LLP was ratified as the independent registered public accounting firm for the fiscal year ending December 31, 2026.
- Auditor ratification passed with 24,917,046 votes in favor and 856,113 votes against.
Sera Prognostics announced the resignation of Board member Jeffrey T. Elliott, effective June 4, 2026. The company has concurrently reduced the size of its Board of Directors to seven members.
📋 Key Facts
- Jeffrey T. Elliott resigned from the Board of Directors effective June 4, 2026.
- The resignation was not due to any disagreement with the company's operations, policies, or practices.
- Mr. Elliott was previously a nominee for re-election at the Annual Stockholders Meeting.
- The Board of Directors decreased its size to seven directors following the resignation.
- The company is currently in discussions with candidates to fill future Board vacancies.
Sera Prognostics, Inc. announced its financial results for the first quarter ended March 31, 2026, and provided business highlights via a press release.
📋 Key Facts
- The filing reports financial results for the quarter ended March 31, 2026.
- The information was disclosed under Item 2.02 (Results of Operations and Financial Condition).
- The full press release is furnished as Exhibit 99.1.
- The report was signed by Austin Aerts, Chief Financial Officer, on May 6, 2026.
Sera Prognostics, Inc. announced its financial results for the fourth quarter and fiscal year ended December 31, 2025. The filing includes a press release detailing business highlights and financial performance for the period.
📋 Key Facts
- The filing reports financial results for the fourth quarter and fiscal year ended December 31, 2025.
- The report was filed on March 18, 2026, under Item 2.02 (Results of Operations and Financial Condition).
- A press release containing the full financial details was furnished as Exhibit 99.1.
- The report was signed by Austin Aerts, Chief Financial Officer.
Sera Prognostics, Inc. has filed an 8-K to furnish a new investor presentation posted to its corporate website on January 8, 2026.
📋 Key Facts
- The company furnished an updated investor presentation via Exhibit 99.1.
- The filing was signed by Chief Financial Officer Austin Aerts.
- The information is provided under Item 7.01 (Regulation FD Disclosure) and is not considered 'filed' for purposes of Section 18 liability.
Sera Prognostics, Inc. announced the publication of its PRIME study results in the Pregnancy Journal. The company plans to discuss these clinical findings during a Jefferies fireside chat on January 9, 2026.
📋 Key Facts
- Publication of 'Prematurity Risk Assessment Combined With Clinical Interventions for Improving Neonatal outcomes (PRIME)' study results in the Pregnancy Journal.
- Clinical data is available via Wiley Online Library link provided in the filing.
- Fireside chat hosted by Jefferies scheduled for January 9, 2026, at 8:30 am ET.
Sera Prognostics, Inc. announced that the findings from its 'PRIME' study (Prematurity Risk Assessment Combined With Clinical Interventions for Improving Neonatal outcomes) have been accepted for publication in a peer-reviewed journal.
📋 Key Facts
- The PRIME study focuses on prematurity risk assessment and clinical interventions to improve neonatal outcomes.
- Study findings were accepted for publication in a peer-reviewed journal as of November 24, 2025.
- The announcement was made via press release furnished as Exhibit 99.1.
Sera Prognostics, Inc. filed an 8-K to announce its financial results and business highlights for the third quarter ended September 30, 2025.
📋 Key Facts
- Report date: November 13, 2025
- Reporting period: Third Quarter ended September 30, 2025
- The filing includes a press release (Exhibit 99.1) containing financial results and business highlights.
- Company is classified as an emerging growth company.
Sera Prognostics, Inc. filed an 8-K to disclose the posting of a new investor presentation on its corporate website and its participation in the H.C. Wainwright 27th Annual Global Investment Conference.
📋 Key Facts
- Company shared a new investor presentation via Exhibit 99.1.
- Presentation was presented at the H.C. Wainwright 27th Annual Global Investment Conference on September 5, 2025.
- The disclosure is made pursuant to Item 7.01 (Regulation FD Disclosure).
Sera Prognostics, Inc. filed an 8-K to announce its financial results and business highlights for the second quarter ended June 30, 2025.
📋 Key Facts
- Report date: August 6, 2025
- Reporting period: Second Quarter ended June 30, 2025
- The filing includes a press release (Exhibit 99.1) detailing financial results and business highlights.
- Company is an emerging growth company.
Sera Prognostics, Inc. held its 2025 Annual Meeting of Stockholders on June 5, 2025. The meeting resulted in the election of two directors and the ratification of Ernst & Young LLP as the independent auditor.
📋 Key Facts
- Annual Meeting held via live audio webcast on June 5, 2025.
- Quorum reached with 24,314,265 shares (66.2% of eligible shares) present or represented by proxy.
- Jane F. Barlow, M.D. and Mansoor Raza Mirza, M.D. elected to the Board of Directors for a three-year term ending in 2028.
- Ernst & Young LLP ratified as independent registered public accounting firm for fiscal year ending December 31, 2025.
Sera Prognostics, Inc. announced the appointment of Lee Anderson as the new Chief Commercial Officer on May 8, 2025.
📋 Key Facts
- Lee Anderson has been appointed to the role of Chief Commercial Officer (CCO).
- The announcement was made via a press release issued on May 8, 2025.
- The filing is categorized under Item 7.01 Regulation FD Disclosure.
Sera Prognostics, Inc. filed an 8-K to announce its financial results and business highlights for the first quarter ended March 31, 2025.
📋 Key Facts
- Report date: May 7, 2025
- Reporting period: First Quarter ended March 31, 2025
- The filing includes a press release (Exhibit 99.1) detailing financial results and business highlights.
- Company is an emerging growth company.
Sera Prognostics, Inc. filed an 8-K to announce its financial results for the fourth quarter and fiscal year ended December 31, 2024. The filing serves as a formal announcement of business highlights and earnings performance.
📋 Key Facts
- Report date: March 19, 2025
- Reporting period: Fourth quarter and fiscal year ended December 31, 2024
- The filing includes the release of financial results via Exhibit 99.1
- Company is an emerging growth company as defined by the SEC
Sera Prognostics, Inc. has entered into an underwriting agreement for a public offering of 1.25 million shares and 11.25 million pre-funded warrants at approximately $4.00 per share, aiming to raise roughly $50 million in gross proceeds.
🚩 Red Flags
- Significant dilution: The issuance of 11.25 million pre-funded warrants represents a massive increase in potential share count compared to the 1.25 million firm shares.
- Warrant structure: Pre-funded warrants allow investors to gain exposure to equity without immediate voting rights or large capital outlays, often used when traditional equity pricing is difficult.
📋 Key Facts
- Offering size: 1,250,000 Firm Shares and 11,250,000 Pre-Funded Warrants.
- Expected gross proceeds: Approximately $50 million.
- Pricing: $4.00 per share / $3.9999 per pre-funded warrant.
- Underwriters: Jefferies LLC, TD Securities (USA) LLC, and William Blair & Company, L.L.C.
- Use of proceeds: Commercial infrastructure expansion in the US, EU expansion prep, funding studies for PreTRM test, and FDA submission support.
- Estimated cash runway extension: Estimated to fund operations through 2028 (subject to assumptions).
Sera Prognostics, Inc. has terminated its existing 'At-the-Market' (ATM) offering prospectus supplement dated August 13, 2024. While the underlying Sales Agreement with TD Cowen remains in effect, no further shares will be sold under the current supplement until a new one is filed.
🚩 Red Flags
- Termination of an ATM program can sometimes signal a change in capital raising strategy or a desire to avoid immediate dilution/market signaling, though it is often a routine administrative action.
📋 Key Facts
- Termination of ATM Prospectus Supplement effective February 10, 2025.
- The original Sales Agreement was dated August 7, 2024, with TD Securities (USA) LLC (TD Cowen).
- The aggregate offering price under the terminated supplement was up to $50,000,000.
- As of the filing date, no shares had been sold under this specific ATM Offering.
- The Sales Agreement remains in full force and effect.
Sera Prognostics reported positive clinical results from its PRIME study, demonstrating significant reductions in neonatal morbidity and hospital stays when using the PreTRM Test. The company also provided an unaudited cash balance update as of December 31, 2024.
🚩 Red Flags
- Financial data as of Dec 31, 2024 is preliminary, unaudited, and subject to change.
📋 Key Facts
- PRIME study met both co-primary endpoints, showing a 25% decrease in neonatal morbidity and mortality (NMI) in the mITT population.
- The study showed an 18% reduction in neonatal length of hospital stays (NNLOS) in the mITT population.
- Full Intent to Treat (ITT) analysis showed a 20% reduction in NMI and an 8% reduction in NNLOS.
- As of December 31, 2024, cash, cash equivalents, and marketable securities were approximately $68.2 million (unaudited).
- The study involved 5,018 pregnant women and validated a 'screen and treat' strategy for low-risk patients.
Sera Prognostics, Inc. filed an 8-K to announce the release of a new investor presentation and its upcoming participation in the 43rd Annual J.P. Morgan Healthcare Conference on January 16, 2025.
📋 Key Facts
- Company will post a new investor presentation to its corporate website on January 13, 2025.
- The company is scheduled to present at the 43rd Annual J.P. Morgan Healthcare Conference on January 16, 2025, at 9:45 a.m. PT.
- Information provided under Item 7.01 is furnished but not 'filed' for purposes of Section 18 liability.
Sera Prognostics announced the publication of topline results from its PRIME study by the Society for Maternal Fetal Medicine (SMFM). Detailed presentation and a company conference call are scheduled for late January and early February 2025.
📋 Key Facts
- The SMFM published an abstract reporting topline results for the 'PRIME' study on January 6, 2025.
- Detailed results from the PRIME study will be presented at the SMFM 2025 Pregnancy Meeting on January 31, 2025.
- The company will host a conference call and webcast to discuss results on February 6, 2025, at 12 p.m. ET.
Sera Prognostics, Inc. filed an 8-K to announce its financial results and business highlights for the third quarter ended September 30, 2024.
📋 Key Facts
- Report date: November 6, 2024
- Reporting period: Third Quarter ended September 30, 2024
- The filing includes a press release (Exhibit 99.1) containing financial results and business highlights.
- Company is an emerging growth company.
Sera Prognostics, Inc. issued an 8-K to announce its financial results and business highlights for the second quarter ended June 30, 2024.
📋 Key Facts
- Report date: August 7, 2024
- Reporting period: Second Quarter ended June 30, 2024
- The filing includes a press release (Exhibit 99.1) containing financial results and business highlights.
- Company is an emerging growth company.
Sera Prognostics, Inc. held its 2024 Annual Meeting of Stockholders on June 6, 2024. The meeting resulted in the election of three directors and the ratification of Ernst & Young LLP as the company's independent auditor.
📋 Key Facts
- Annual Meeting held via live audio webcast on June 6, 2024.
- Quorum reached with 20,402,055 shares (64.4% of eligible shares) present or represented by proxy.
- Elected Gregory C. Critchfield, M.D., M.S., Zhenya Lindgardt, and Joshua Phillips to the Board of Directors for a three-year term ending 2027.
- Ratified Ernst & Young LLP as independent registered public accounting firm for fiscal year ending December 31, 2024.
- Total Class A common stock issued and outstanding: 31,672,965 shares.
Sera Prognostics, Inc. filed an 8-K to announce its financial results and business highlights for the first quarter ended March 31, 2024.
📋 Key Facts
- Report date: May 8, 2024
- Reporting period: First quarter ended March 31, 2024
- The filing includes a press release (Exhibit 99.1) detailing financial results and business highlights.
- Company is an emerging growth company.
Sera Prognostics, Inc. issued an 8-K to announce its financial results for the fourth quarter and fiscal year ended December 31, 2023. The filing also includes a new investor presentation posted to the company's website.
📋 Key Facts
- Reported date: March 20, 2024
- Reporting period: Q4 and Fiscal Year ended December 31, 2023
- Released financial results via press release (Exhibit 99.1)
- Updated investor presentation posted to corporate website (Exhibit 99.2)