Serina Therapeutics (SER) CSO sells 6,500 shares after option exercise

Rhea-AI Filing Summary

Serina Therapeutics, Inc.'s Chief Scientific Officer, Randall Moreadith, reported an option exercise and share sale. On February 2, 2026, he exercised stock options for 6,500 shares of common stock at an exercise price of $0.06 per share and acquired these shares directly.

That same day, he sold 6,500 shares of common stock in a market transaction at a weighted average price of $3.0277 per share, with actual sale prices ranging from $3.00 to $3.05. After the sale, he reported owning 0 shares of common stock from this lot and 313,186 stock options that 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)
02/02/2026

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	02/02/2026		M		6,500	A	$0.06	6,500	D
Common Stock	02/02/2026		S		6,500	D	$3.0277(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	02/02/2026		M			6,500	(2)	05/06/2031	Common Stock	6,500	$0	313,186	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 $3.05 to $3.00. 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	02/03/2026
	** 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).
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FAQ

What insider transaction did SER's Chief Scientific Officer report?

Randall Moreadith, Chief Scientific Officer of Serina Therapeutics (SER), reported exercising options for 6,500 common shares, then selling 6,500 shares on February 2, 2026. The filing details both the option exercise terms and the subsequent market sale.

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

The CSO sold 6,500 shares of Serina Therapeutics common stock at a weighted average price of $3.0277 per share. The trades occurred in multiple transactions, with prices ranging between $3.00 and $3.05, as disclosed in the filing footnote.

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

He exercised a stock option for 6,500 shares of Serina Therapeutics common stock at an exercise price of $0.06 per share on February 2, 2026. The filing also notes that these stock options are fully vested as of the transaction date.

How many Serina Therapeutics (SER) derivative securities does the CSO still hold?

Following the reported transactions, the CSO holds 313,186 stock options relating to Serina Therapeutics common stock. These options are reported as directly owned derivative securities and are fully vested, according to the explanatory footnote included in the Form 4.

Does the Serina Therapeutics (SER) Form 4 show any remaining common shares held?

After exercising options and selling 6,500 common shares, the Form 4 reports that the CSO holds 0 shares of Serina Therapeutics common stock from this transaction. His reported holdings now consist of 313,186 directly owned stock options instead of common shares.

What is the expiration date of the Serina Therapeutics (SER) stock options in this filing?

The stock option exercised by the CSO relates to Serina Therapeutics common stock and carries an expiration date of May 6, 2031. The option was exercised on February 2, 2026, at a strike price of $0.06 per share, with 6,500 shares underlying it.