Serina Therapeutics SER Form 4: CSO sells 6,500 shares

Serina Therapeutics, Inc. officer reports option exercise and share sale.

Rhea-AI Filing Summary

Serina Therapeutics, Inc. officer reports option exercise and share sale. The company’s Chief Scientific Officer exercised stock options for 6,500 shares of common stock at an exercise price of $0.06 per share on 11/18/2025. On the same date, 6,500 shares of common stock were sold in an open market transaction at a weighted average price of $3.7541 per share, leaving 0 shares of common stock directly owned after the transaction. The filing also shows that 384,686 stock options with a $0.06 exercise price remained beneficially owned following the reported transactions, and these options are fully vested with an expiration date of 05/06/2031.

Insider Trade Summary

Exercise and Sale: 6,500 shares ($24K approx. pre-tax spread)

Exercise and Sale 3 txns

Insider Moreadith Randall

Role Chief Scientific Officer

Sold 6,500 shs ($24K)

Approx. gross sale proceeds $24K

Approx. exercise cost $390.00

Approx. pre-tax spread $24K

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	$3.7541	$24K

Holdings After Transaction: Stock Option (right to buy) — 384,686 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 $3.90 to $3.71. 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

What insider transaction did Serina Therapeutics (SER) disclose on this Form 4?

The filing reports that the Chief Scientific Officer of Serina Therapeutics, Inc. exercised stock options for 6,500 shares of common stock at $0.06 per share and sold 6,500 shares of common stock at a weighted average price of $3.7541 on 11/18/2025.

Who is the reporting person in this Serina Therapeutics (SER) Form 4 filing?

The reporting person is an officer of Serina Therapeutics, Inc. serving as Chief Scientific Officer, who filed the Form 4 as a single reporting person.

How many Serina Therapeutics (SER) shares did the officer own after the reported transaction?

After the reported sale on 11/18/2025, the officer directly owned 0 shares of Serina Therapeutics common stock, as shown in Table I of the filing.

What stock options does the Serina Therapeutics (SER) officer still hold?

Following the transactions, the officer beneficially owned 384,686 stock options with an exercise price of $0.06 per share, expiring on 05/06/2031, and these stock options are noted as fully vested.

What does the weighted average share price mean in this Serina Therapeutics Form 4?

The filing explains that the $3.7541 price reported is a weighted average, as the 6,500 shares were sold in multiple transactions at prices ranging from $3.90 to $3.71 per share.

Is the Serina Therapeutics (SER) transaction associated with a Rule 10b5-1 trading plan?

The form includes a checkbox for indicating if a transaction was made under a Rule 10b5-1(c) trading plan, but the excerpt only shows the presence of this checkbox and does not indicate it being marked.

What type of securities are covered in this Serina Therapeutics (SER) Form 4?

The filing covers common stock transactions in Table I and a stock option (right to buy) in Table II, which is exercisable into common stock of Serina Therapeutics, Inc.

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Accepted by SEC EDGAR 11/19/2025 - 01:47 PM 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).

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)
11/18/2025

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	11/18/2025		M		6,500	A	$0.06	6,500	D
Common Stock	11/18/2025		S		6,500	D	$3.7541(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	11/18/2025		M			6,500	(2)	05/06/2031	Common Stock	6,500	$0	384,686	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 $3.90 to $3.71. 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	11/19/2025
	** 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.