Serina Therapeutics SEC Filings

Serina Therapeutics (SER): Form 4 insider activity. The Chief Scientific Officer exercised stock options for 3,102 shares at $0.06 on 11/04/2025 and sold 3,102 common shares at a weighted average price of $4.3953 the same day. Following these transactions, common stock beneficially owned was 0 shares direct. The filing notes the sale was executed in multiple trades between $4.65 and $4.35. The reporting person continues to hold 401,084 stock options, which are fully vested, expiring on 05/06/2031.

Serina Therapeutics (SER) reported that the U.S. Food and Drug Administration has placed a clinical hold on the company’s IND application for SER-252, its lead development program for advanced Parkinson’s disease. The update was announced on November 3, 2025.

The company furnished a press release as Exhibit 99.1 providing the regulatory update on the SER-252 program.

Serina Therapeutics (SER) reported an insider transaction by its Chief Scientific Officer. On 10/28/2025, the officer exercised 5,551 stock options at $0.06 per share and sold 5,551 shares at a weighted average price of $4.9615.

After these transactions, directly held common stock was 0 shares. The filing lists 404,186 derivative securities (stock options) beneficially owned following the transactions. The reported options are fully vested and carry an expiration date of 05/06/2031.

Serina Therapeutics (SER) disclosed an insider transaction by its Chief Scientific Officer. On 10/27/2025, the officer exercised 949 stock options at $0.06 and sold 949 common shares at a weighted average price of $5.1857, with sales ranging from $5.25 to $5.10. After these transactions, 0 common shares were beneficially owned directly, and 409,737 stock options remained outstanding and are fully vested.

Serina Therapeutics filed Amendment No. 1 to its definitive proxy for the November 7, 2025 Annual Meeting, updating disclosures for the proposal to approve, under NYSE American rules, the potential issuance of 20% or more of its outstanding common stock in connection with a Convertible Note and Warrants.

The update clarifies that approval is sought for compliance with Sections 711 and 713(a)Dr. Bailey is a director, under certain circumstances the issuance of shares to him pursuant to the Convertible Note and Warrants could be considered equity compensation under Rule 711, depending on the market price at each funding.

The company states that, without approval, it would be unable to issue 20% or more to the holders of the Convertible Note and Warrants, and that this limitation could have a material adverse effect on its financial condition. Proxies already received will continue to be voted as instructed unless changed.

Serina Therapeutics (SER) Chief Scientific Officer Randall Moreadith exercised stock options for 6,500 shares at $0.06 and sold 6,500 shares at a weighted average price of $4.9672 on 10/20/2025.

The sale occurred in multiple transactions between $5.02 and $4.88. Following the transactions, the Form 4 reports 0 shares of common stock directly owned and 410,686 derivative securities (stock options) beneficially owned. The exercised option was fully vested and carried a $0.06 exercise price with an expiration date of 05/06/2031.

Serina Therapeutics (SER) reported an insider transaction by its Chief Scientific Officer. On 10/13/2025, the officer exercised a stock option for 4,326 shares at $0.06 per share and sold 4,326 common shares at a weighted average price of $5.20, with individual sale prices ranging from $5.25 to $5.18. Following these transactions, common stock beneficially owned was 0 shares, and derivative securities beneficially owned were 417,186 stock options. The reported stock options are fully vested and carry an expiration date of 05/06/2031.

Serina Therapeutics invites stockholders to its virtual Annual Meeting on November 7, 2025 at 11:00 a.m. Central Time to vote on electing two Class II directors, ratifying Frazier & Deeter, LLC as auditors, and approving a Convertible Note and Warrants Proposal under NYSE American rules. The Board set the record date as September 17, 2025. The proposal would permit issuance of up to $20 million of convertible notes convertible at $5.18 per share, with warrants issued equal to 100% of conversion shares at a $5.44 exercise price, and requires stockholder approval due to NYSE Rule 713. The Company previously sold Series A Preferred Stock for ~$5 million and disclosed related-party lending and asset-sale transactions involving Juvenescence and UniverXome. Dr. Gregory H. Bailey, a director, is a lender under the 2025 Convertible Note.