Welcome to our dedicated page for Serina Therapeutics SEC filings (Ticker: ser), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Parsing Serina Therapeutics’ disclosures can feel like navigating polymer chemistry while tracking cash burn. The company’s POZ Platform and multiple neurology trials load its 10-K with dense scientific detail, while 8-Ks can shift outlook overnight as FDA feedback arrives. If you have ever searched hundreds of pages for pipeline timelines or waited anxiously for Form 4 hints of executive confidence, you know the challenge.
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Gladstone Investment Corporation (NASDAQ: GAIN) – 2025 Definitive Proxy Statement highlights
• Annual Meeting: Thursday, August 7, 2025 at 11:00 a.m. ET via webcast (www.virtualshareholdermeeting.com/GAIN2025). Record date: June 11, 2025 (36,921,165 shares outstanding).
• Proposals up for vote:
- Proposal 1: Elect two directors—David Gladstone (Chairman & CEO, interested) and John H. Outland (independent)—for terms expiring at the 2028 meeting.
- Proposal 2: Ratify PricewaterhouseCoopers LLP (PwC) as independent registered public accounting firm for fiscal year ending March 31, 2026.
• Board composition: Seven members; five independent (71%). Lead Independent Director: Walter H. Wilkinson. Board is staggered into three classes; independence evaluated under Nasdaq and 1940 Act rules.
• Diversity snapshot (June 30 2025): 3 female / 3 male / 1 undisclosed; 3 military veterans; racial/ethnic mix includes Hispanic/Latinx and multiracial representation.
• Governance structure: Combined Chair/CEO role held by founder David Gladstone; Lead Independent Director mitigates oversight concerns. Key committees—Audit, Compensation, Ethics/Nominating, Valuation—are fully independent. Audit Committee members qualify as “audit committee financial experts.”
• Audit firm & fees: PwC has served since 2006. FY 2025 audit-related fees total $674k (up 8.5% YoY), with $113k categorized as audit-related (ATM program & debt offering).
• External management economics: Adviser earns 2% base fee on average gross assets plus incentive fees (20% over 8.75% annualized hurdle). FY 2025 payments: $23.7 million to Adviser; $1.9 million to Administrator.
• Director compensation (FY 2025): Independent directors received $25k base retainer plus meeting/committee fees; top earner was John H. Outland at $52k from the Company ($245k across Gladstone fund complex).
• Share ownership: Insiders/directors own 2.40% of common stock; David Gladstone holds the largest stake (667,630 shares, 1.81%). No outside holder exceeds 5%.
• Voting mechanics: Directors elected by plurality; PwC ratification requires majority of shares present. Broker non-votes count toward quorum, not outcome (non-routine for Proposal 1, routine for Proposal 2).
FormFactor Inc. (FORM) has filed a Form 144 notice indicating an intended insider sale of up to 4,000 common shares through Morgan Stanley Smith Barney on or about 01 Jul 2025. Based on the filing’s stated aggregate market value of $136,106.80, the planned transaction represents roughly 0.005 % of the company’s 77,076,642 shares outstanding, implying minimal ownership dilution or trading-volume impact.
The seller, identified in the past-sales table as Mike Slessor, acquired the shares as performance stock on 19 Jul 2022. The document notes no gift status or non-cash consideration. Within the preceding three months, the same individual sold 8,000 shares in two tranches (01 May 2025 and 02 Jun 2025) for combined gross proceeds of $246,188.80. Adding the upcoming sale would bring the rolling three-month total to 12,000 shares.
The filing contains the standard representation that the seller is not in possession of undisclosed material adverse information and provides no indication of additional planned transactions beyond the stated amount. Given the modest size relative to market float and the routine nature of a Rule 144 filing, immediate financial impact appears limited; however, continued insider selling can sometimes influence investor sentiment.
Campbell Soup Company (CPB) – Form 4 filing dated 06/30/2025
Director Maria Teresa Hilado reported the acquisition of 1,459.54 phantom stock units on 06/26/2025. Each unit is economically equivalent to one share of Campbell common stock but settles in cash under the company’s Supplemental Retirement Plan when the director leaves the board. Following the transaction, Hilado’s total phantom stock balance stands at 32,860.64 units, which includes 338.02 units accumulated via dividend reinvestment since her prior report.
The transaction was coded “A” (award) at a stated price of $0, indicating a routine, non-market grant typically tied to director compensation or fee deferrals rather than an open-market purchase. Because phantom stock does not involve the issuance of new shares or direct cash outlay by the insider, the filing has limited immediate impact on CPB’s share count, liquidity, or public float.
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