Serina Therapeutics (SER) CSO sells stock after exercising options

Rhea-AI Filing Summary

Serina Therapeutics, Inc. Chief Scientific Officer Randall Moreadith reported option exercises and stock sales in mid-January 2026. On January 13, 2026, he exercised stock options to acquire 5,416 shares of Serina common stock at an exercise price of $0.06 per share, then sold 5,416 shares at a weighted average price of $2.50 per share. On January 14, 2026, he exercised options for an additional 1,084 shares at $0.06 per share and sold 1,084 shares at a weighted average price of $2.5031 per share, leaving him with no directly held common stock after these transactions.

Following the reported transactions, Moreadith beneficially owned 332,686 stock options with an exercise price of $0.06 per share, expiring on May 6, 2031, and the filing notes that these stock options are fully vested.

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

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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 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)
01/13/2026

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	01/13/2026		M		5,416	A	$0.06	5,416	D
Common Stock	01/13/2026		S		5,416	D	$2.5	0	D
Common Stock	01/14/2026		M		1,084	A	$0.06	1,084	D
Common Stock	01/14/2026		S		1,084	D	$2.5031(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	01/13/2026		M			5,416	(2)	05/06/2031	Common Stock	5,416	$0	333,770	D
Stock Option (right to buy)	$0.06	01/14/2026		M			1,084	(2)	05/06/2031	Common Stock	1,084	$0	332,686	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 $2.54 to $2.50. 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	01/14/2026
	** 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.
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FAQ

What insider activity did Serina Therapeutics (SER) disclose in this Form 4?

The Form 4 reports that Chief Scientific Officer Randall Moreadith exercised stock options and sold the underlying Serina Therapeutics common shares on January 13 and 14, 2026.

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

On January 13, 2026, he sold 5,416 shares of common stock at a weighted average price of $2.50 per share. On January 14, 2026, he sold 1,084 shares at a weighted average price of $2.5031 per share.

What stock options did the Serina Therapeutics (SER) CSO exercise in this filing?

He exercised stock options with an exercise price of $0.06 per share, acquiring 5,416 shares on January 13, 2026 and 1,084 shares on January 14, 2026.

Does the Serina Therapeutics (SER) CSO still own common stock after these transactions?

After the reported sales on January 13 and 14, 2026, the Form 4 shows that zero shares of common stock were beneficially owned directly by the reporting person.

How many Serina Therapeutics (SER) options does the CSO hold after the Form 4 transactions?

Following the transactions, he beneficially owned 332,686 stock options with an exercise price of $0.06 per share, scheduled to expire on May 6, 2031.

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

Yes. A footnote states that the stock options are fully vested, meaning they were exercisable at the time of these transactions.