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

Rhea-AI Filing Summary

Insider transaction summary (SEC Form 4)

On 07/28/2025, Serina Therapeutics (SER) Chief Scientific Officer Dr. Randall Moreadith exercised 6,500 stock options at a strike of $0.06 and immediately sold the resulting shares in the open market. The weighted-average sale price was $5.89 (price range $6.02–$5.60). Net of the option cost, the insider realized roughly $38 k in gross proceeds, while the company received only ~$390 from the option exercise.

After the transactions the officer now holds 0 common shares directly, but still owns 488,686 fully-vested options expiring 05/06/2031. The divestment is immaterial relative to SER’s share count and does not alter overall insider exposure, yet it removes all direct share ownership for this executive.

No other securities, derivatives or accompanying disclosures were reported.

Positive

• None.

Negative

• Chief Scientific Officer sold 100% of newly acquired shares, leaving no direct common-stock ownership, a potential negative signal despite retained options.

Insights

Securities Analyst

TL;DR: Small option exercise followed by full sale; negligible balance-sheet impact, modest signalling risk.

The CSO converted and sold 6,500 shares—far less than 1 % of SER’s float—so liquidity and capital structure remain unchanged. Cash paid to the company ($390) is immaterial. However, the officer’s direct ownership falls to zero, which can be read as a weak commitment signal, although he still retains ~0.5 M options. Because overall insider exposure barely moves, the market effect should be limited.

Corporate Governance Expert

TL;DR: Insider now has no direct equity; governance optics slightly negative but not material.

Direct share disposals by senior R&D leaders can raise alignment questions. That said, the retained 488k options preserve upside incentives. The sale size is small and transparently disclosed, limiting governance concern. I classify the filing as routine with minor negative optics rather than a material event.

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).

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)
07/28/2025

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	07/28/2025		M		6,500	A	$0.06	6,500	D
Common Stock	07/28/2025		S		6,500	D	$5.89(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	07/28/2025		M			6,500	(2)	05/06/2031	Common Stock	6,500	$0	488,686	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 $6.02 to $5.60. 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	07/29/2025
	** 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

How many Serina Therapeutics shares did the insider sell?

Dr. Moreadith sold 6,500 shares on 07/28/2025 at a weighted-average price of $5.89.

What was the exercise price of the options?

The stock options were exercised at $0.06 per share.

Does the officer still own Serina Therapeutics shares after the sale?

He now holds 0 common shares directly but maintains 488,686 vested options.

How much cash did Serina Therapeutics receive from the exercise?

The company received about $390 (6,500 × $0.06) from the option exercise.

Is this insider transaction considered significant for investors?

Given the small share count and negligible balance-sheet impact, analysts view the filing as not materially significant.