[Form 4] Serina Therapeutics, Inc. Insider Trading Activity

Rhea-AI Filing Summary

Randall Moreadith, Chief Scientific Officer of Serina Therapeutics (SER), reported option exercises and immediate sales in August 2025. On 08/18/2025 she exercised 2,227 stock options at a $0.06 strike and sold the resulting shares at $5.25. On 08/20/2025 she exercised 2,077 stock options at $0.06 and sold those shares at $5.10. The filing states the stock options are fully vested. Table entries show derivative holdings after the transactions of 471,263 and 469,186 option-based underlying shares, reported as direct holdings. The reporting person signed the Form 4 on 08/20/2025.

Positive

• Stock options are fully vested, enabling lawful exercise and sale as reported
• Transactions were reported and signed on Form 4, indicating timely disclosure

Negative

• Officer sold exercised shares (2,227 and 2,077 shares), which may be viewed as insider selling activity
• Post-transaction filings show large option-based holdings (471,263 and 469,186 underlying shares), indicating significant potential dilution or future exercises

Insights

Securities Analyst

TL;DR: Officer exercised low-strike options and sold shares shortly after, locking in gains; transactions appear routine and disclosed under Section 16.

The reported activity shows two option exercises at a $0.06 strike price on 08/18/2025 and 08/20/2025, followed by sales at $5.25 and $5.10 respectively. The options are disclosed as fully vested and the filing lists substantial remaining option-based holdings (471,263 and 469,186 underlying shares). From a trading-signals perspective, the officer monetized equity granted at a nominal strike, realizing the spread between strike and sale prices. The transactions are reported in compliance with Form 4 requirements and include a 10b5-1 plan checkbox.

Corporate Governance Expert

TL;DR: Insider executed and sold vested options; disclosure appears complete and signed, with mention of a 10b5-1 plan.

The Form 4 identifies Randall Moreadith as Chief Scientific Officer and indicates the transactions were reported promptly with signature dated 08/20/2025. The filing includes an indication that the transaction was made pursuant to a written plan intended to satisfy Rule 10b5-1(c) affirmative defense. The statement that options are fully vested clarifies the grant status. Documentation appears routine from a governance and disclosure standpoint.

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).

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)
08/18/2025

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	08/18/2025		M		2,227	A	$0.06	2,227	D
Common Stock	08/18/2025		S		2,227	D	$5.25	0	D
Common Stock	08/20/2025		M		2,077	A	$0.06	2,077	D
Common Stock	08/20/2025		S		2,077	D	$5.1	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	08/18/2025		M			2,227	(1)	05/06/2031	Common Stock	2,227	$0	471,263	D
Stock Option (right to buy)	$0.06	08/20/2025		M			2,077	(1)	05/06/2031	Common Stock	2,077	$0	469,186	D

Explanation of Responses:

1. The stock options are fully vested.

Remarks:

	/s/ Randall Moreadith	08/20/2025
	** 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.

FAQ

What transactions did SER insider Randall Moreadith report on Form 4?

The filing reports exercises of 2,227 options on 08/18/2025 and 2,077 options on 08/20/2025, with corresponding sales of the acquired shares.

At what prices were the SER shares acquired and sold?

The options were exercised at a $0.06 strike; sold shares were reported at $5.25 (08/18/2025) and $5.10 (08/20/2025).

Are the reported stock options vested for Randall Moreadith?

Yes. The Form 4 includes an explicit explanation stating the stock options are fully vested.

Was the Form 4 signed and when?

Yes. The Form 4 is signed by /s/ Randall Moreadith with a signature date of 08/20/2025.

Does the filing indicate the transactions were under a trading plan?

Yes. The filing checks the box indicating the transaction was made pursuant to a 10b5-1 written plan.