Serina CSO exercises options, sells 39,000 shares

Serina Therapeutics, Inc. Chief Scientific Officer Randall Moreadith exercised stock options for 39,000 shares of common stock at $0.06 per share and immediately sold all 39,000 shares at $2.50 per share in an open-market transaction.

Rhea-AI Filing Summary

Serina Therapeutics, Inc. Chief Scientific Officer Randall Moreadith exercised stock options for 39,000 shares of common stock at $0.06 per share and immediately sold all 39,000 shares at $2.50 per share in an open-market transaction.

The filing shows this was an exercise-and-sell event, with the reported common stock holdings reduced to 0 shares directly after the sale. The stock options involved were fully vested before exercise.

Insider Trade Summary 10b5-1

Exercise and Sale: 39,000 shares ($95K approx. pre-tax spread)

Exercise and Sale 3 txns

Insider Moreadith Randall

Role Chief Scientific Officer

Sold 39,000 shs ($98K)

Approx. gross sale proceeds $98K

Approx. exercise cost $2K

Approx. pre-tax spread $95K

Type	Security	Shares	Price	Value
Exercise	Stock Option (right to buy)	39,000	$0.00	$0.00
Exercise	Common Stock	39,000	$0.06	$2K
Sale	Common Stock	39,000	$2.50	$98K

Holdings After Transaction: Stock Option (right to buy) — 274,186 contracts (Direct); Common Stock — 0 shares (Direct)

Footnotes (1)

1. F1. The stock options are fully vested.

FAQ

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What insider transaction did Serina Therapeutics (SER) report for Randall Moreadith?

Serina Therapeutics reported that Chief Scientific Officer Randall Moreadith exercised options for 39,000 shares and sold all 39,000 common shares. The sale was reported as an open-market transaction at $2.50 per share on March 19, 2026.

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

The CSO sold 39,000 shares of Serina Therapeutics common stock at $2.50 per share. These shares came from exercising 39,000 fully vested stock options at a $0.06 exercise price on the same date, according to the Form 4 filing.

What stock options did the Serina Therapeutics (SER) CSO exercise in this Form 4?

Randall Moreadith exercised 39,000 stock options, each giving the right to buy one Serina Therapeutics common share at $0.06. The options were fully vested and had an original expiration date in May 2031 before being fully exercised in this transaction.

Did the Serina Therapeutics (SER) CSO keep any of the exercised shares?

The Form 4 shows the CSO sold all 39,000 shares acquired from exercising options, leaving 0 directly held common shares from this lot. The filing does not list any remaining derivative holdings related to these specific options after the exercise-and-sale.

What does the Form 4 indicate about remaining Serina Therapeutics (SER) option holdings?

For this specific grant, the Form 4 derivative section is empty after the exercise, indicating all 39,000 options in that award were converted into common shares and sold. No remaining options from this grant are reported following the March 19, 2026 transactions.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 03/20/2026 - 02:20 PM EDT 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 ALABAMA 35806

(City) (State) (Zip)

UNITED STATES

(Country)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
03/19/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

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	03/19/2026		M		39,000	A	$0.06	39,000	D
Common Stock	03/19/2026		S		39,000	D	$2.5	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	03/19/2026		M			39,000	(1)	05/06/2031	Common Stock	39,000	$0	274,186	D

Explanation of Responses:

1. The stock options are fully vested.

Remarks:

	/s/ Randall Moreadith	03/20/2026
	** 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.
* Form 4: SEC 1474 (03-26)