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Registration No. 333-

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM S-8

REGISTRATION STATEMENT

UNDER

THE SECURITIES ACT OF 1933

Sera Prognostics, Inc.

(Exact name of registrant as specified in its charter)

Delaware

 

26-1911522

(State or other jurisdiction of

incorporation or organization)

 

(I.R.S. Employer

Identification Number)

2749 East Parleys Way

Suite 200
Salt Lake City, UT 84109

Telephone: (801) 990-0520

(Address, including zip code, and telephone number, including area code,

of registrant’s principal executive offices)

2021 Equity Incentive Plan

2021 Employee Stock Purchase Plan

(Full Title of the Plans)

Zhenya Lindgardt

President and Chief Executive Officer

Sera Prognostics, Inc.

2749 East Parleys Way

Suite 200

Salt Lake City, UT 84109

Telephone: (801) 990-0520

(Name, address, including zip code, and telephone number, including area code, of agent for service)

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.

Large accelerated filer

o

Accelerated filer

o

Non-accelerated filer

x

Smaller reporting company

x

 

 

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 7(a)(2)(B) of the Securities Act. ☐

 


 

EXPLANATORY NOTE

This Registration Statement registers 1,328,276 additional shares of Class A Common Stock, par value $0.0001 per share (“Common Stock”), of Sera Prognostics, Inc. (the “Registrant”) under the Registrant’s 2021 Equity Incentive Plan (the “2021 Plan”) and 332,069 additional shares of Common Stock under the Registrant’s 2021 Employee Stock Purchase Plan (the “ESPP”), representing an increase of 1,328,276 shares of Common Stock reserved for issuance under the 2021 Plan and 332,069 shares of Common Stock reserved for issuance under the ESPP, in each case effective January 1, 2025 by operation of the “evergreen” provision contained in the applicable plan. This Registration Statement registers additional securities of the same class as other securities for which a registration statement filed on Form S-8 of the Registrant relating to one or more employee benefit plans is effective (File Nos. 333-258696, 333-263943, 333-270746, and 333-278104) (the “Prior Registration Statements”). The information contained in the Registrant’s Prior Registration Statements is hereby incorporated by reference pursuant to General Instruction E of Form S-8.

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PART II

INFORMATION REQUIRED IN THE REGISTRATION STATEMENT

 

Item 8. Exhibits

Exhibit Number

 

Exhibit Description

 

Filed Herewith

 

Incorporated by Reference herein from Form or Schedule

 

Filing Date

 

SEC File/Reg. Number

4.1.1

 

Amended and Restated Certificate of Incorporation

 

 

 

Form 8-K (Exhibit 3.1)

 

7/20/2021

 

001-40606

4.1.2

 

Certificate of Amendment to Amended and Restated Certificate of Incorporation

 

 

 

Form 8-K (Exhibit 3.1)

 

6/9/2023

 

001-40606

4.2

 

Amended and Restated Bylaws

 

 

 

Form 8-K (Exhibit 3.2)

 

7/20/2021

 

001-40606

4.3

 

Specimen Common Stock Certificate

 

 

 

Form S-1/A (Exhibit 4.1)

 

7/8/2021

 

333-257038

4.4

 

Form of Common Stock Purchase Warrant - I

 

 

 

Form S-1 (Exhibit 4.2)

 

6/11/2021

 

333-257038

4.5

 

Form of Common Stock Purchase Warrant - II

 

 

 

Form S-1 (Exhibit 4.3)

 

6/11/2021

 

333-257038

4.6

 

Form of Series E Warrant

 

 

 

Form S-1 (Exhibit 4.4)

 

6/11/2021

 

333-257038

4.7

 

Fourth Amended and Restated Investors’ Rights Agreement, dated as of February 23, 2021

 

 

 

Form S-1 (Exhibit 4.5)

 

6/11/2021

 

333-257038

4.8

 

Form of Pre-Funded Warrant

 

 

 

Form 8-K (Exhibit 4.1)

 

2/12/2025

 

001-40606

5.1

 

Opinion of Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

 

X

 

 

 

 

 

 

23.1

 

Consent of Independent Registered Public Accounting Firm

 

X

 

 

 

 

 

 

23.2

 

Consent of Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. (included in Exhibit 5.1)

 

X

 

 

 

 

 

 

24.1

 

Power of Attorney (included on the signature page hereof)

 

X

 

 

 

 

 

 

99.1+

 

2021 Equity Incentive Plan

 

 

 

Form S-1/A (Exhibit 10.3)

 

7/8/2021

 

333-257038

99.2+

 

Form of Stock Option Agreement under the Registrant’s 2021 Equity Incentive Plan

 

 

 

Form S-1/A (Exhibit 10.3)

 

7/8/2021

 

333-257038

99.3+

 

Form of Restricted Stock Unit Agreement under the Registrant’s 2021 Equity Incentive Plan

 

 

 

Form 10-K (Exhibit 10.29)

 

3/20/2024

 

001-40606

99.4+

 

2021 Employee Stock Purchase Plan

 

 

 

Form S-1/A (Exhibit 10.4)

 

7/8/2021

 

333-257038

107

 

Filing Fee Table

 

X

 

 

 

 

 

 

__________________________________

+ Denotes management contract or compensatory plan or arrangement

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Signatures

Pursuant to the requirements of the Securities Act of 1933, as amended, the registrant has duly caused this registration statement on Form S-8 to be signed on its behalf by the undersigned, thereunto duly authorized in Salt Lake City, Utah, on the 19th day of March, 2025.

SERA PROGNOSTICS, INC.

By: /s/ Zhenya Lindgardt

Zhenya Lindgardt

President and Chief Executive Officer

POWER OF ATTORNEY

Each person whose signature appears below constitutes and appoints each of Zhenya Lindgardt and Austin Aerts, acting alone or together with another attorney-in-fact, as his or her true and lawful attorney-in-fact and agent, with full power of substitution and resubstitution, for such person and in his or her name, place and stead, in any and all capacities, to sign any or all further amendments (including post-effective amendments) to this registration statement, and to file the same, with all exhibits thereto, and other documents in connection therewith, with the Securities and Exchange Commission, granting unto said attorneys-in-fact and agents, and each of them, full power and authority to do and perform each and every act and thing requisite and necessary to be done in and about the premises, as fully to all intents and purposes as he or she might or could do in person, hereby ratifying and confirming all that said attorney-in-fact and agent, or his or her substitute or substitutes, may lawfully do or cause to be done by virtue hereof.

Pursuant to the requirements of the Securities Act, this registration statement has been signed by the following persons in the capacities and on the dates indicated.

Signature

 

Title

 

Date

 

 

 

 

 

/s/ Zhenya Lindgardt

 

President and Chief Executive Officer (Principal Executive Officer)

 

March 19, 2025

Zhenya Lindgardt

 

 

 

 

 

 

 

/s/ Austin Aerts

 

Chief Financial Officer (Principal Financial and Accounting Officer)

 

March 19, 2025

Austin Aerts

 

 

 

 

 

/s/ Kim Kamdar, Ph.D.

 

Chair of the Board of Directors

 

March 19, 2025

Kim Kamdar, Ph.D.

 

 

 

 

 

/s/ Jane F. Barlow, M.D.

 

Director

 

 

March 19, 2025

Jane F. Barlow, M.D.

 

 

 

 

 

/s/ Gregory C. Critchfield, M.D., M.S.

 

Director

 

 

March 19, 2025

Gregory C. Critchfield, M.D., M.S.

 

 

 

 

 

/s/ Sandra A.J. Lawrence

 

Director

 

 

March 19, 2025

Sandra A.J. Lawrence

 

 

 

 

 

/s/ Mansoor Raza Mirza, M.D.

 

Director

 

 

March 19, 2025

Mansoor Raza Mirza, M.D.

 

 

 

 

 

/s/ Joshua Phillips

 

Director

 

 

March 19, 2025

Joshua Phillips

 

 

 

 

 

 

 

/s/ Ryan Trimble

 

Director

 

 

March 19, 2025

Ryan Trimble

 

 

 

 

 

 

 

/s/ Marcus Wilson, Pharm.D.

 

Director

 

 

March 19, 2025

Marcus Wilson, Pharm.D.

 

 

 

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