Vault-13

SERA PROGNOSTICS INC SERA

CLASS A COM · Common Stock · CUSIP 81749D107

29 institutional holders -5 vs Q2 2023
8,863,2388.9m shares reported held*
$16.5mreported value*
1 new 7 added 6 reduced 6 sold out net sold ≈ $1.2m (-653.6k shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Implied quarter-end price ≈ $1.86.

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

02040Q3 22: 36Q4 22: 30Q1 23: 36Q2 23: 34Q3 23: 2929Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 202236
Q4 202230
Q1 202336
Q2 202334
Q3 202329

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
40040Q4 22: 7 bought or addedQ4 22: 24 cut or sold outQ4 22Q1 23: 24 bought or addedQ1 23: 11 cut or sold outQ1 23Q2 23: 7 bought or addedQ2 23: 12 cut or sold outQ2 23Q3 23: 8 bought or addedQ3 23: 12 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022724
Q1 20232411
Q2 2023712
Q3 2023812

Biggest buyers

SANDERS MORRIS HARRIS LLC Added +81,933+81.9k
CAPTRUST FINANCIAL ADVISORS Added +41,062+41.1k
GEODE CAPITAL MANAGEMENT, LLC Added +32,804+32.8k
BRIDGEWAY CAPITAL MANAGEMENT, LLC Added +22,800+22.8k
VANGUARD GROUP INC Added +13,364+13.4k
MORGAN STANLEY Added +250+250
WELLS FARGO & COMPANY/MN Added +39+39
Qube Research & Technologies Ltd New +4+4

Biggest sellers

Informed Momentum Co LLC Sold out -387,193-387.2k
BAKER BROS. ADVISORS LP Reduced -262,093-262.1k
Riverview Capital Advisers, LLC Sold out -102,731-102.7k
RESOURCE CONSULTING GROUP INC Sold out -46,734-46.7k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Sold out -15,400-15.4k
CITADEL ADVISORS LLC Sold out -12,087-12.1k
SEGALL BRYANT & HAMILL, LLC Sold out -10,000-10.0k
DIMENSIONAL FUND ADVISORS LP Reduced -4,942-4.9k
UBS Group AG Reduced -2,326-2.3k
BlackRock Inc. Reduced -2,289-2.3k

Major shareholders (over 5%)

Anyone who owns more than 5% of a class of the company's shares has to say so: on Schedule 13D if they may try to influence or control the company, on 13G if they're a passive investor, and update it as the stake changes. Each holder's latest filing, from 19 Dec 2024 on; percentages are of the share class, as the holder worked them out.

HolderStakeChangeShares Last filed
BAKER BROS. ADVISORS LP 13D · may seek influence new · filed 2025-02-14
Stated purposeThe disclosure in Item 3, Item 5 and Item 6 below are incorporated herein by reference. On February 10, 2025, the Issuer entered into an underwriting agreement (the "Underwriting Agreement") with Jefferies LLC, TD Securities (USA) LLC and William Blair & Company, L.L.C., as representatives of the several underwriters named therein (the "Underwriters"), related to the public offering (the "Offering") of 1,250,000 shares of Common Stock at a price to the public of $4.00 per share and 11,250,000 Pre-Funded Warrants at a price to the public of $3.9999 per share. In addition, the Issuer granted the Underwriters an option exercisable for 30 days from the date of the Underwriting Agreement to purchase, at the public offering price less any underwriting discounts and commissions, up to an additi… Full filing
 16.1% new 5.5m≈ $10.0m 2025-02-14
Whetstone Capital Advisors, LLC 13G · passive investor -0.6 pts · filed 2026-05-01 8.6% -0.6 pts 3.3m≈ $6.0m 2026-05-01
Chione Ltd 13D · may seek influence filed 2025-02-14 7.6% 2.6m≈ $4.7m 2025-02-14
Aberdeen Group plc 13G · institution +1.1 pts · filed 2026-07-15 7.2% +1.1 pts 2.8m≈ $5.0m 2026-07-15

Insider purchases and sales in Q3 2023

Shares bought or sold by the company's own officers, directors and 10% owners, in the open market or privately, as they reported to the SEC on Form 4 (due within two business days of the trade). Grants, option exercises, shares withheld for tax and gifts aren't included.

Officers and directors buying vs selling

Number of people, by quarter (10% owners not included)

BuyingSelling
101Q4 21: 0 buyingQ4 21: 0 sellingQ1 22: 0 buyingQ1 22: 1 sellingQ1 22Q2 22: 1 buyingQ2 22: 1 sellingQ3 22: 0 buyingQ3 22: 1 sellingQ3 22Q4 22: 0 buyingQ4 22: 0 sellingQ1 23: 0 buyingQ1 23: 0 sellingQ1 23Q2 23: 0 buyingQ2 23: 1 sellingQ3 23: 0 buyingQ3 23: 0 sellingQ3 23
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
Q4 20210—0——
Q1 20220—1$30.9k—
Q2 20221$9.6k1$75.4k—
Q3 20220—1$22.6k—
Q4 20220—0——
Q1 20230—0——
Q2 20230—1$16.1k—
Q3 20230—0——

None reported in Q3 2023.

Holders, Q3 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 INTERWEST VENTURE MANAGEMENT CO 21.78% of their portfolio LOS ALTOS, CA 2,416,2412.4m $4.5m $4.5m 21.78% Unchanged
2 Vivo Capital, LLC 0.38% of their portfolio Palo Alto, CA 1,856,0111.9m $3.5m $3.5m 0.38% Unchanged
3 BAKER BROS. ADVISORS LP 0.02% of their portfolio NEW YORK, NY 1,515,3421.5m $2.8m $2.8m 0.02% Reduced -262.1k -262,093
4 VANGUARD GROUP INC 0.00% of their portfolio Valley Forge, PA 786,792786.8k $1.5m $1.5m 0.00% Added +13.4k +13,364
5 Fosun International Ltd 0.17% of their portfolio HONG KONG, F4 554,148554.1k $1.0m $1.0m 0.17% Unchanged
6 SANDERS MORRIS HARRIS LLC 0.17% of their portfolio Houston, TX 445,105445.1k $827.9k $827.9k 0.17% Added +81.9k +81,933
7 CAPTRUST FINANCIAL ADVISORS 0.00% of their portfolio RALEIGH, NC 422,799422.8k $786.4k $786.4k 0.00% Added +41.1k +41,062
8 GEODE CAPITAL MANAGEMENT, LLC 0.00% of their portfolio BOSTON, MA 178,290178.3k $331.7k $331.7k 0.00% Added +32.8k +32,804
9 Acuitas Investments, LLC 0.19% of their portfolio Seattle, WA 173,195173.2k $322.1k $322.1k 0.19% Reduced -7 -7
10 BRIDGEWAY CAPITAL MANAGEMENT, LLC 0.00% of their portfolio HOUSTON, TX 96,10596.1k $178.8k $178.8k 0.00% Added +22.8k +22,800
11 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 70,58870.6k $131.0k $131.0k 0.00% Unchanged
12 BlackRock Inc. 0.00% of their portfolio New York, NY 57,62957.6k $107.2k $107.2k 0.00% Reduced -2.3k -2,289
13 Requisite Capital Management, LLC 0.03% of their portfolio DALLAS, TX 55,64855.6k $103.5k $103.5k 0.03% Unchanged
14 STATE STREET CORP 0.00% of their portfolio BOSTON, MA 50,19250.2k $93.4k $93.4k 0.00% Unchanged
15 Marquette Asset Management, LLC 0.02% of their portfolio MINNEAPOLIS, MN 35,68735.7k $66.4k $66.4k 0.02% Unchanged
16 NORTHERN TRUST CORP 0.00% of their portfolio CHICAGO, IL 27,19127.2k $50.6k $50.6k 0.00% Unchanged
17 UBS Group AG 0.00% of their portfolio ZURICH, V8 21,00021.0k $39.1k $39.1k 0.00% Reduced -2.3k -2,326
18 Prime Capital Investment Advisors, LLC 0.00% of their portfolio OVERLAND PARK, KS 21,00021.0k $39.1k $39.1k 0.00% Unchanged
19 Ensign Peak Advisors, Inc 0.00% of their portfolio SALT LAKE CITY, UT 18,10818.1k $33.7k $33.7k 0.00% Unchanged
20 MAI Capital Management 0.00% of their portfolio INDEPENDENCE, OH 16,98917.0k $31.6k $31.6k 0.00% Unchanged
21 DIMENSIONAL FUND ADVISORS LP 0.00% of their portfolio AUSTIN, TX 14,97915.0k $27.9k $27.9k 0.00% Reduced -4.9k -4,942
22 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 12,99713.0k $24.2k $24.2k 0.00% Unchanged
23 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 0.00% of their portfolio SAN FRANCISCO, CA 12,00012.0k $22.3k $22.3k 0.00% Unchanged
24 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 4,0194.0k $7.5k $7.5k 0.00% Added +250 +250
25 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 959959 $1.8k $1.8k 0.00% Unchanged
26 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 137137 $255 $255 0.00% Added +39 +39
27 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 8383 $0 $0 0.00% Reduced -85 -85
28 Qube Research & Technologies Ltd 0.00% of their portfolio LONDON, X0 44 $7 $7 0.00% New
29 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged