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

Serina Therapeutics (SER) CSO exercises options and sells 4,000 shares

Filing Impact
(Neutral)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Serina Therapeutics Chief Scientific Officer trading update: On January 20 and 21, 2026, Chief Scientific Officer Randall Moreadith exercised stock options for a total of 4,000 shares of common stock at an exercise price of $0.06 per share and sold the same 4,000 shares in open-market transactions. The sales were reported at prices of $3.07 and $3.00 per share, leaving 0 shares of common stock directly owned after these transactions. Following the option exercises, he continued to hold 328,686 stock options with an exercise price of $0.06, which the filing states are fully vested.

Positive

  • None.

Negative

  • None.
Insider Moreadith Randall
Role Chief Scientific Officer
Sold 4,000 shs ($12K)
Type Security Shares Price Value
Exercise Stock Option (right to buy) 2,000 $0.00 --
Exercise Common Stock 2,000 $0.06 $120.00
Sale Common Stock 2,000 $3.00 $6K
Exercise Stock Option (right to buy) 2,000 $0.00 --
Exercise Common Stock 2,000 $0.06 $120.00
Sale Common Stock 2,000 $3.07 $6K
Holdings After Transaction: Stock Option (right to buy) — 328,686 shares (Direct); Common Stock — 2,000 shares (Direct)
Footnotes (1)
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Form 4 Insider Transactions: What Each Field Means →
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)
01/20/2026
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 01/20/2026 M 2,000 A $0.06 2,000 D
Common Stock 01/20/2026 S 2,000 D $3.07 0 D
Common Stock 01/21/2026 M 2,000 A $0.06 2,000 D
Common Stock 01/21/2026 S 2,000 D $3 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 01/20/2026 M 2,000 (1) 05/06/2031 Common Stock 2,000 $0 330,686 D
Stock Option (right to buy) $0.06 01/21/2026 M 2,000 (1) 05/06/2031 Common Stock 2,000 $0 328,686 D
Explanation of Responses:
1. The stock options are fully vested.
Remarks:
/s/ Randall Moreadith 01/21/2026
** 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.

Source: View Original Filing on SEC EDGAR

FAQ

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

The Form 4 reports that Chief Scientific Officer Randall Moreadith exercised stock options for 4,000 shares of Serina Therapeutics common stock and sold those 4,000 shares in market transactions over January 20–21, 2026.

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

The Chief Scientific Officer sold 2,000 shares of common stock at $3.07 per share on January 20, 2026 and 2,000 shares at $3.00 per share on January 21, 2026.

What was the exercise price of the Serina Therapeutics (SER) stock options used in these transactions?

The stock options exercised by the Chief Scientific Officer carried an exercise price of $0.06 per share for the underlying Serina Therapeutics common stock.

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

After the reported transactions, the Chief Scientific Officer beneficially owned 328,686 stock options with an exercise price of $0.06, as shown in the derivative securities table.

Does the Serina Therapeutics (SER) Form 4 indicate how many common shares the CSO owns after the sales?

Yes. The non-derivative table shows that following the reported sales, the Chief Scientific Officer directly owned 0 shares of Serina Therapeutics common stock.

Are the Serina Therapeutics (SER) stock options mentioned in the Form 4 vested?

The footnote to the derivative securities table states that the stock options are fully vested, confirming they are currently exercisable under the terms described.