SER Form 4: CSO Sells 6,500 Shares After Option Exercise

Form 4 snapshot – Serina Therapeutics (SER): On 07/21/2025 Chief Scientific Officer Randall Moreadith exercised 6,500 fully-vested options at an exercise price of $0.06 and immediately sold the same 6,500 common shares in the open market.

Rhea-AI Filing Summary

Form 4 snapshot – Serina Therapeutics (SER): On 07/21/2025 Chief Scientific Officer Randall Moreadith exercised 6,500 fully-vested options at an exercise price of $0.06 and immediately sold the same 6,500 common shares in the open market. The weighted-average sale price was $5.34 (range $5.31-$5.40), generating gross proceeds of roughly $34.7 k and eliminating his direct common-stock position, which now stands at 0 shares. He retains 495,186 options after the transaction. The filing reflects a routine option-exercise-and-sell pattern rather than large-scale disposal, but it does reduce immediate share ownership by a named executive.

Positive

• Executive retains 495,186 vested options, maintaining significant long-term exposure to SER’s share price.

Negative

• Direct common-stock ownership reduced to zero, which some investors may interpret as weaker near-term confidence.

Insights

Securities Analyst

TL;DR: Small insider sale; neutral impact.

The CSO sold only 6.5 k shares, a trivial amount in most capital-structures. Proceeds of ~$35 k suggest personal liquidity, not a strategic exit. Direct ownership goes to zero, but his 495 k vested options keep long-term exposure. No broader signal about fundamentals or guidance. Volume and percentage of float are likely immaterial, so the market impact should be negligible.

Corporate Governance Expert

TL;DR: Alignment unchanged; executive still holds sizeable option stake.

Although direct shares were sold, the executive’s remaining options preserve economic alignment with shareholders through 2031. The exercise price of $0.06 versus market ~$5.34 points to large embedded value if the stock appreciates further. From a governance lens, this looks like standard diversification rather than bearish signalling.

Insider Trade Summary

Exercise and Sale: 6,500 shares ($34K approx. pre-tax spread)

Exercise and Sale 3 txns

Insider Moreadith Randall

Role Chief Scientific Officer

Sold 6,500 shs ($35K)

Approx. gross sale proceeds $35K

Approx. exercise cost $390.00

Approx. pre-tax spread $34K

Type	Security	Shares	Price	Value
Exercise	Stock Option (right to buy)	6,500	$0.00	$0.00
Exercise	Common Stock	6,500	$0.06	$390.00
Sale	Common Stock	6,500	$5.34	$35K

Holdings After Transaction: Stock Option (right to buy) — 495,186 contracts (Direct); Common Stock — 0 shares (Direct)

Footnotes (2)

1. F1. 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 $5.31 to $5.40. 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. F2. The stock options are fully vested.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How many SER shares did Randall Moreadith sell?

He sold 6,500 shares on 07/21/2025 at a weighted-average price of $5.34.

What was the exercise price of the options?

The options were exercised at $0.06 per share.

Does the CSO still own SER stock after the sale?

He holds 0 common shares directly but retains 495,186 stock options.

Is the transaction likely to impact SER’s stock price?

Given the small size (6.5 k shares), it is considered not material to trading dynamics.

Why might an executive exercise and sell on the same day?

Executives often exercise options and sell immediately for tax or liquidity purposes while retaining remaining option exposure.

AI-generated analysis. How Rhea-AI works. Not financial advice.

Form 4 Insider Transactions: What Each Field Means →

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

Accepted by SEC EDGAR 07/22/2025 - 10:25 AM Learn about SEC filing dates

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

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

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

1. Name and Address of Reporting Person^*

Moreadith Randall

(Last) (First) (Middle)

601 GENOME WAY, SUITE 2001

(Street)

HUNTSVILLE AL 35806

(City) (State) (Zip)

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

3. Date of Earliest Transaction (Month/Day/Year)
07/21/2025

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

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

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

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	07/21/2025		M		6,500	A	$0.06	6,500	D
Common Stock	07/21/2025		S		6,500	D	$5.34(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	07/21/2025		M			6,500	(2)	05/06/2031	Common Stock	6,500	$0	495,186	D

Explanation of Responses:

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 $5.31 to $5.40. 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	07/22/2025
	** 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.