FALSE000153496900015349692023-06-132023-06-13

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)
Delaware001-4060626-1911522
(State or other jurisdiction
of incorporation)
(Commission File Number)(IRS Employer
Identification No.)
2749 East Parleys WaySuite 200
Salt Lake CityUtah
84109
(Address of principal executive offices)(zip code)
Registrant’s telephone number, including area code: (801990-0520
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:
o    Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o    Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o    Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o    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:
Title of each classTrading
Symbol(s)
Name of each exchange
on which registered
Class A Common Stock, $0.0001 par value per shareSERA
The Nasdaq Stock Market LLC
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).
Emerging Growth Company x
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. o



Item 5.02.     Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
On June 13, 2023, Michael R. Foley, M.D., notified Sera Prognostics, Inc. (the “Company”) of his intention to resign from the position of Chief Medical Officer of the Company, effective as of June 30, 2023, and has moved to a consulting role.
Effective July 1, 2023, the Company entered into a consulting agreement (the “Consulting Agreement”) with Dr. Foley, pursuant to which Dr. Foley agreed to provide certain consulting services to the Company upon its request in exchange for payment of $500 per hour, up to 12 hours per week, and continued vesting of his equity awards pursuant to their terms during the term of the Consulting Agreement. The Consulting Agreement has a term of 24 months and can be terminated by either party, with or without cause, upon 90 days’ written notice to the other party. The summary of the Consulting Agreement is qualified in its entirety by reference to the full text of the Consulting Agreement, a copy of which will be attached as an exhibit to the Company’s quarterly report on Form 10-Q for the quarter ended June 30, 2023.




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 thereunto duly authorized.
SERA PROGNOSTICS, INC.
By:/s/ Benjamin G. Jackson
Benjamin G. Jackson
Secretary and General Counsel
Date: July 31, 2023

v3.23.2
Cover
Jun. 13, 2023
Cover [Abstract]  
Document Type 8-K
Document Period End Date Jun. 13, 2023
Entity Registrant Name SERA PROGNOSTICS, INC.
Entity Incorporation, State or Country Code DE
Entity File Number 001-40606
Entity Tax Identification Number 26-1911522
Entity Address, Address Line One 2749 East Parleys Way
Entity Address, Address Line Two Suite 200
Entity Address, City or Town Salt Lake City
Entity Address, State or Province UT
Entity Address, Postal Zip Code 84109
City Area Code 801
Local Phone Number 990-0520
Written Communications false
Soliciting Material false
Pre-commencement Tender Offer false
Pre-commencement Issuer Tender Offer false
Entity Emerging Growth Company true
Entity Ex Transition Period false
Title of 12(b) Security Class A Common Stock, $0.0001 par value per share
Trading Symbol SERA
Security Exchange Name NASDAQ
Amendment Flag false
Entity Central Index Key 0001534969

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