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

Rhea-AI Filing Summary

On 07/29/2025 Serina Therapeutics (SER) Chief Scientific Officer Randall Moreadith filed a Form 4 reporting an exercise of 4,196 stock options at $0.06 each (Table II) and an immediate sale of the same 4,196 common shares at $6.50 (Table I). All options were already fully vested. After the sale, the officer now reports 0 shares of SER common stock held directly.

Despite disposing of the exercised shares, Moreadith retains 484,490 fully-vested options with the same $0.06 exercise price and a 05/06/2031 expiration. The filing covers a single insider and does not reference any other material company events. Given the modest trade size relative to SER’s likely share count, the transaction appears routine and is unlikely to affect the company’s capital structure or near-term outlook.

Positive

• Officer retains 484,490 fully-vested options at a favorable $0.06 strike, preserving long-term incentive alignment.

Negative

• All exercised shares were immediately sold, leaving the insider with zero direct common-stock ownership, which could be viewed as a weak near-term vote of confidence.

Insights

Financial Analyst

TL;DR: Small option exercise/sale; immaterial to SER fundamentals.

The transaction involved merely 4,196 shares—trivial versus typical micro-cap floats. While the $6.50 sale price implies roughly $27k gross proceeds, it does not meaningfully impact liquidity or signal broad insider sentiment because the officer still retains almost half a million low-priced options. The move looks like routine portfolio management rather than a directional bet on SER’s valuation.

Corporate Governance Expert

TL;DR: Insider sold all newly issued shares but keeps large option stake.

Moreadith’s complete disposal of exercised shares removes any direct equity alignment yet his 484,490 vested options maintain long-term upside incentives. Governance risk is limited; the Form 4 is timely and compliant. Overall impact on shareholder perception is neutral given the small volume and continued option exposure.

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)
07/29/2025

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	07/29/2025		M		4,196	A	$0.06	4,196	D
Common Stock	07/29/2025		S		4,196	D	$6.5	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	07/29/2025		M			4,196	(1)	05/06/2031	Common Stock	4,196	$0	484,490	D

Explanation of Responses:

1. The stock options are fully vested.

Remarks:

	/s/ Randall Moreadith	07/30/2025
	** 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

What insider activity did SER report on 07/29/2025?

CSO Randall Moreadith exercised 4,196 options at $0.06 and sold the resulting shares at $6.50.

How many Serina Therapeutics shares were sold?

4,196 common shares were sold, leaving the officer with none held directly.

What price were the options exercised at?

The options carried a $0.06 exercise price and were fully vested.

Does the insider still hold Serina Therapeutics stock?

No direct shares remain, but 484,490 stock options are still owned.

When do the remaining options expire?

The options expire on 05/06/2031.