# EDGAR Filing Document

**Accession Number:** 0001534969
**File Stem:** 0000950170-25-082539
**Filing Date:** 2025-6
**Character Count:** 6053
**Document Hash:** 63f619989119902fc451c223035787ac
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000950170-25-082539.hdr.sgml**: 20250605

**ACCESSION NUMBER**: 0000950170-25-082539

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 10

**CONFORMED PERIOD OF REPORT**: 20250605

**ITEM INFORMATION**: Submission of Matters to a Vote of Security Holders

**FILED AS OF DATE**: 20250605

**DATE AS OF CHANGE**: 20250605

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** SERA PROGNOSTICS, INC.
- **CENTRAL INDEX KEY:** 0001534969
- **STANDARD INDUSTRIAL CLASSIFICATION:** SERVICES-MEDICAL LABORATORIES [8071]
- **ORGANIZATION NAME:** 08 Industrial Applications and Services
- **EIN:** 261911522
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40606
- **FILM NUMBER:** 251028278

**BUSINESS ADDRESS:**
- **STREET 1:** 2749 E. PARLEYS WAY
- **STREET 2:** SUITE 200
- **CITY:** SALT LAKE CITY
- **STATE:** UT
- **ZIP:** 84109
- **BUSINESS PHONE:** (801) 990-0520

**MAIL ADDRESS:**
- **STREET 1:** 2749 E. PARLEYS WAY
- **STREET 2:** SUITE 200
- **CITY:** SALT LAKE CITY
- **STATE:** UT
- **ZIP:** 84109

?xml version='1.0' encoding='ASCII'? 8-K

**UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549**

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## **FORM** 8-K

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**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<br>

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Sera Prognostics, Inc.

**(Exact name of Registrant as Specified in Its Charter)**

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| | | |
|:---|:---|:---|
| Delaware | 001-40606 | 26-1911522 |
| **(State or Other Jurisdiction<br>of Incorporation)** | **(Commission File Number)** | **(IRS Employer<br>Identification No.)** |
| 2749 East Parleys Way<br>Suite 200 |  |  |
| Salt Lake City**,** Utah |  | 84109 |
| **(Address of Principal Executive Offices)** |  | **(Zip Code)** |

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**Registrant's Telephone Number, Including Area Code:** (801) 990-0520<br>

Not Applicable

**(Former Name or Former Address, if Changed Since Last Report)**

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Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

**Securities registered pursuant to Section 12(b) of the Act:**

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| | | |
|:---|:---|:---|
| **<br>Title of each class** | **Trading<br>Symbol(s)** | **<br>Name of each exchange on which registered** |
| Class A Common Stock, $0.0001 par value per share | SERA | The Nasdaq Stock Market LLC |

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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).

Emerging growth company ☒

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

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## **Item 5.07 Submission of Matters to a Vote of Security Holders.** 
On June 5, 2025, Sera Prognostics, Inc. (the "Company") held its 2025 Annual Meeting of Stockholders (the "Annual Meeting") via live audio webcast on the Internet. Of the 36,701,381 shares of Class A common stock, par value $0.0001 per share, issued and outstanding and eligible to vote as of the record date of April 9, 2025, a quorum of 24,314,265 shares, or 66.2% of the eligible shares, was present at the meeting or represented by proxy.

At the Annual Meeting, the stockholders: (1) elected each of Jane F. Barlow, M.D. and Mansoor Raza Mirza, M.D. to the Company's Board of Directors as a Class I director for a term of three years to serve until the 2028 annual meeting of stockholders and until his or her successor is duly elected and qualified or until his or her earlier death, resignation, or removal ("Election of Directors"); and (2) ratified the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2025 ("Auditor Ratification"). A more complete description of each of these matters is set forth in the Company's definitive proxy statement on Schedule 14A filed with the Securities and Exchange Commission on April 23, 2025.

The number of votes cast in favor or against or withheld by the stockholders and, where applicable, the number of abstentions and the number of broker non-votes on each of the foregoing matters are set forth below.

1. Election of Directors

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| | | | | | | |
|:---|:---|:---|:---|:---|:---|:---|
| **Nominee** | **Shares Voted For** | **Shares Voted For** | **Shares Voted to Withhold Authority** | **Shares Voted to Withhold Authority** | **Broker Non-votes** | **Broker Non-votes** |
| Jane F. Barlow, M.D. |  | 14,420,152 |  | 4,895,002 |  | 4,999,111 |
| Mansoor Raza Mirza, M.D. |  | 14,351,738 |  | 4,963,416 |  | 4,999,111 |

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2. Auditor Ratification

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| | | | |
|:---|:---|:---|:---|
| **Shares Voted For** | **Shares Voted Against** | **Shares Abstaining** | **Broker Non-votes** |
| 24,311,571 | 2,691 | 3 |  |

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**SIGNATURES**

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

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| | | | |
|:---|:---|:---|:---|
|  |  |  | **SERA PROGNOSTICS, INC.** |
| Date: | June 5, 2025 | By:  | /s/ Austin Aerts |
|  |  |  | Austin Aerts<br>Chief Financial Officer |

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