Serina Therapeutics, Inc. SEC Filings

Serina Therapeutics, Inc. reported a Form 3 insider filing for director Simon Farrell. This initial insider report shows no listed buy, sell, acquisition, disposition, option exercise, gift, or derivative transactions, and the structured data includes no reported current derivative positions or holding entries for this reporting person.

Serina Therapeutics, Inc. entered into an Amended and Restated Employment Agreement with Chief Executive Officer Steve Ledger, providing an annual base salary of $500,000 and a target annual bonus equal to 50% of base salary, based on goals established by the Board of Directors.

For a termination by the company without Cause or a resignation for Good Reason outside a Change in Control, Ledger is entitled to 12 months of base salary, a prorated target bonus, and up to 12 months of reimbursed COBRA premiums, subject to signing and not revoking a release of claims.

If this type of termination occurs in connection with a Change in Control, he instead receives 1.5 times base salary, 1.5 times target annual bonus, a prorated target bonus, up to 18 months of COBRA reimbursement, and full accelerated vesting of then-unvested time-based equity awards. The agreement includes confidentiality, a two‑year post-termination non-competition covenant, 18‑month non-solicitation and no-hire restrictions, non-disparagement, and a Section 280G “best-net” reduction rather than an excise tax gross-up.

Serina Therapeutics, Inc. appointed Farrell Simon, Pharm.D. to its Board of Directors, effective July 22, 2026, and named him to the Board’s Audit and Compensation Committees. Simon is currently Chief Commercial Officer at Trevi Therapeutics, where he has supported financings totaling more than $400 million and led commercial strategy and business development.

The company highlights its POZ Platform drug-optimization technology and lead candidate SER-252, an apomorphine therapy for Parkinson’s disease. The SER-252-1b registrational Phase 1b trial is randomized, double-blind and placebo-controlled, with single- and multiple-ascending-dose cohorts evaluating safety, tolerability, pharmacokinetics and exploratory motor outcomes across sites in the United States, Australia, and planned sites in South Korea and Taiwan.

Serina Therapeutics’ major shareholder group led by Juvenescence Limited and JuvVentures (UK) Limited reports beneficial ownership of 4,400,781 shares of common stock of Serina Therapeutics, Inc. This includes 3,267,188 shares held directly and shares issuable upon exercise of Replacement Incentive Warrants and Incentive Warrants.

The filing states this position represents approximately 27.3% of Serina’s common stock, calculated using 14,997,505 shares outstanding as of May 10, 2026 and giving effect to warrant exercises and two tranches of new shares described in Item 6. A $15.0 million private placement funded on March 20, 2026 by other investors caused more than a 1% change in this ownership percentage; the reporting persons did not participate and report no other Serina stock transactions in the past 60 days aside from arrangements referenced in Item 6.

Serina Therapeutics, Inc. director Stephen K. Brannan reported an open-market purchase of common stock. On July 7, 2026, he bought 1,000 shares of Serina Therapeutics common stock at a price of $2.03 per share. After this transaction, he directly holds 1,000 shares.

Serina Therapeutics, Inc. reported that stockholders approved a major amendment to its charter, increasing authorized common stock from 40,000,000 to 125,000,000 shares effective June 17, 2026. This gives the company significantly more capacity to issue new shares in the future.

At the 2026 Annual Meeting, stockholders elected three directors to terms ending at the 2029 meeting. They also approved adding 2,000,000 shares to the 2024 Equity Incentive Plan, authorized issuances of common stock tied to conversion of Series A Preferred Stock and certain private placement securities, supported executive compensation and annual say‑on‑pay votes, and ratified Frazier & Deeter, LLC as auditor for 2026.

Serina Therapeutics director Jay Venkatesan reported multiple equity-related transactions. A trust associated with him, The Jay Venkatesan Legacy Trust, acquired 224,152 shares of common stock on mandatory conversion of 96,525 shares of Series A Convertible Preferred Stock at an adjusted conversion price of $2.25 per share, including 1,930 shares issued for accrued dividends. Following this, the trust held 231,705 common shares indirectly. Venkatesan also received a grant of 15,250 stock options with a $1.98 exercise price expiring in 2036, which will vest around the next annual meeting, and he bought 589 common shares in an open‑market transaction at $1.78 per share. A footnote notes an earlier administrative error that misclassified certain holdings between direct and indirect ownership.

Serina Therapeutics director Gregory Bailey reported a series of stock acquisitions and conversions tied to prior financing agreements and equity awards. On June 17, 2026, 762,548 shares of Series A Convertible Preferred Stock were mandatorily converted into 1,755,555 shares of common stock, plus 15,250 additional shares issued as accrued dividends, after stockholders approved the conversion terms.

Separate transactions show common stock issued upon automatic conversion of Pre-Funded Warrants originally purchased at $2.2499 per warrant under a March 17, 2026 Securities Purchase Agreement, following stockholder approval obtained on June 17, 2026. Bailey also received 3,333,333 redeemable warrants with a $5.00 exercise price and 15,250 stock options with a $1.98 exercise price as additional derivative awards.

Serina Therapeutics, Inc. director Stephen K. Brannan received a grant of stock options covering 15,250 shares of common stock. The options have an exercise price of $1.98 per share and expire on June 17, 2036. They vest on the earlier of the day before the next Annual Meeting or the one-year anniversary of the June 17, 2026 grant date, subject to his continued service with the company. Following this grant, he holds 15,250 stock options, reflecting a routine compensation-related award rather than an open-market trade.