Sera Prognostics Files 8-K on Security Holder Vote

TL;DR

Sera Prognostics is having a shareholder vote, details to follow.

AI Summary

On June 6, 2024, Sera Prognostics, Inc. filed an 8-K report detailing the submission of matters to a vote of its security holders. The filing does not specify the nature of the vote or any outcomes, but it indicates a formal process involving shareholder decisions is underway.

Why It Matters

This filing signals that Sera Prognostics is engaging in a process requiring shareholder approval, which could impact corporate governance or strategic decisions.

Risk Assessment

Risk Level: medium — The filing indicates a shareholder vote, which can sometimes precede significant corporate actions or changes that may affect stock value.

Key Players & Entities

• SERA PROGNOSTICS, INC. (company) — Registrant
• June 6, 2024 (date) — Date of Report
• Delaware (jurisdiction) — State of Incorporation
• 801) 990-0520 (phone_number) — Registrant's telephone number

FAQ

Key Financial Figures

• $0.0001 — which registered Class A Common Stock, $0.0001 par value per share SERA The Nasdaq Sto

Filing Documents

• sera-20240606.htm (8-K) — 31KB
• 0001534969-24-000122.txt ( ) — 159KB
• sera-20240606.xsd (EX-101.SCH) — 2KB
• sera-20240606_lab.xml (EX-101.LAB) — 23KB
• sera-20240606_pre.xml (EX-101.PRE) — 13KB
• sera-20240606_htm.xml (XML) — 3KB

07. Submission of Matters to a Vote of Security Holders

Item 5.07. Submission of Matters to a Vote of Security Holders. On June 6, 2024, Sera Prognostics, Inc. (the "Company") held its 2024 Annual Meeting of Stockholders (the "Annual Meeting") via live audio webcast on the Internet. Of the 31,672,965 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 10, 2024, a quorum of 20,402,055 shares, or 64.4% of the eligible shares, was present at the meeting or represented by proxy. At the Annual Meeting, the stockholders: (1) elected each of Gregory C. Critchfield, M.D., M.S., Zhenya Lindgardt, and Joshua Phillips, to the Company's Board of Directors as a Class III director for a term of three years to serve until the 2027 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, 2024 ("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, 2024 . 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 Nominee Shares Voted For Shares Voted to Withhold Authority Broker Non-votes Gregory C. Critchfield, M.D., M.S. 11,383,614 622,052 8,396,389 Zhenya Lindgardt 9,379,452 2,626,214 8,396,389 Joshua Phillips 11,492,162 513,504 8,396,389 2. Auditor Ratification Shares Voted For Shares Voted Against Shares Abstaining Broker Non-votes 20,391,485 226 10,344 —

SIGNATURES

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/ Austin Aerts Austin Aerts Chief Financial Officer Date: June 6, 2024

View Full Filing

View this 8-K filing on SEC EDGAR