Serina Therapeutics (SER) CEO awarded 230,100 new stock options

Rhea-AI Filing Summary

Serina Therapeutics granted Chief Executive Officer and director Steven A. Ledger a stock option covering 230,100 shares of common stock at an exercise price of $2.76 per share. The option expires on 02/03/2036 and was awarded at a cost of $0 to the recipient.

According to the vesting terms, 12/48ths of the shares vest twelve months after the vesting commencement date, with 1/48th of the shares vesting monthly thereafter until fully vested. Following this grant, Ledger directly holds derivative securities representing 230,100 underlying shares.

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).

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^*

LEDGER STEVEN A

(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)

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

3. Date of Earliest Transaction (Month/Day/Year)
02/03/2026

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

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)	$2.76	02/03/2026		A		230,100		(1)	02/03/2036	Common Stock	230,100	$0	230,100	D

Explanation of Responses:

1. Unless otherwise terminated as provided in the optionee's option agreement, 12/48ths of the shares subject to the option shall vest twelve months after the Vesting Commencement Date, and 1/48th of the shares subject to the option shall vest on the same calendar day of each subsequent month thereafter until the shares subject to the option are fully vested.

Remarks:

	Steven A. Ledger	02/17/2026
	** 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.

FAQ

What did SER CEO Steven Ledger report on this Form 4?

Steven A. Ledger reported receiving a grant of stock options for 230,100 shares of Serina Therapeutics common stock. These options were awarded at no cost, have a $2.76 exercise price, and represent a new equity-based incentive tied to future company performance.

What are the key terms of Steven Ledger’s Serina Therapeutics stock options?

The options cover 230,100 shares of Serina Therapeutics common stock at a $2.76 exercise price. They expire on February 3, 2036 and were granted for $0. Vesting is spread over four years, starting after a one-year cliff period.

How do Steven Ledger’s Serina Therapeutics (SER) options vest over time?

Twelve forty-eighths of the option shares vest twelve months after the vesting commencement date. The remaining shares vest in equal one-forty-eighth monthly installments thereafter, continuing until all 230,100 underlying shares are fully vested under the award.

Does the Serina Therapeutics CEO directly own the reported stock options?

Yes. The filing shows the 230,100 stock options as directly owned by Steven A. Ledger. After this grant, the total number of derivative securities he beneficially owns directly is 230,100, all tied to Serina Therapeutics common stock through this option award.

What is the expiration date of the Serina Therapeutics options granted to Steven Ledger?

The stock option granted to Steven A. Ledger expires on February 3, 2036. He may exercise vested portions at $2.76 per share any time before that expiration, subject to the terms and potential termination conditions in his option agreement.

Did Steven Ledger buy or sell Serina Therapeutics shares in this Form 4?

This Form 4 reports an acquisition of derivative securities through a stock option grant, not a market purchase or sale. The transaction code is “A,” indicating a grant or award of 230,100 options, rather than an open-market buy or sell of common shares.