Serina Therapeutics (SER) CSO exercises options then sells 6,500 shares

Rhea-AI Filing Summary

Serina Therapeutics Chief Scientific Officer exercises and sells options-linked shares. On March 23, 2026, Randall Moreadith exercised stock options for 6,500 shares of common stock at an exercise price of $0.06 per share and then sold the same 6,500 shares in open-market transactions at a weighted average price of $2.8566 per share, with individual sale prices ranging from $2.68 to $3.03. This exercise-and-sell pattern represents a routine liquidity transaction rather than an open-market purchase.

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

X

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Moreadith Randall

(Last) (First) (Middle)

601 GENOME WAY, SUITE 2001

(Street)

HUNTSVILLE ALABAMA 35806

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Serina Therapeutics, Inc. [ SER ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Scientific Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
03/23/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	03/23/2026		M		6,500	A	$0.06	6,500	D
Common Stock	03/23/2026		S		6,500	D	$2.8566(1)	0	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option (right to buy)	$0.06	03/23/2026		M			6,500	(2)	05/06/2031	Common Stock	6,500	$0	267,686	D

Explanation of Responses:

1. 1. The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.68 to $3.03. The reporting person undertakes to provide to Serina Therapeutics, Inc., any security holder of Serina Therapeutis, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

2. The stock options are fully vested.

Remarks:

	/s/ Randall Moreadith	03/24/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

FAQ

What insider transaction did Serina Therapeutics (SER) report for Randall Moreadith?

Serina Therapeutics reported that Chief Scientific Officer Randall Moreadith exercised stock options for 6,500 common shares at $0.06 and sold the same 6,500 shares at a weighted average price of $2.8566 per share in open-market transactions.

How many Serina Therapeutics (SER) shares did the CSO sell and at what price?

Randall Moreadith sold 6,500 Serina Therapeutics common shares in open-market trades at a weighted average price of $2.8566 per share, with individual transaction prices ranging between $2.68 and $3.03, as disclosed in the Form 4 footnote.

Did the Serina Therapeutics (SER) CSO buy shares on the open market?

The CSO did not buy shares on the open market. He acquired 6,500 shares by exercising stock options at $0.06 per share and then sold all 6,500 shares in open-market transactions on the same date, according to the Form 4 filing.

What type of transaction code appears in the Serina Therapeutics (SER) Form 4?

The Form 4 shows an “M” code for the derivative transaction, indicating exercise of stock options, and an “S” code for the non-derivative transaction, indicating an open-market sale of 6,500 common shares following the option exercise on March 23, 2026.

Are the Serina Therapeutics (SER) stock options held by the CSO fully vested?

Yes. A Form 4 footnote states that the stock options involved in this transaction are fully vested. The CSO exercised these options to obtain 6,500 common shares before selling the same number of shares in the market on March 23, 2026.