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

Rhea-AI Filing Summary

Moreadith Randall, Chief Scientific Officer of Serina Therapeutics (SER), exercised fully vested stock options and sold the underlying shares across two dates in late August 2025. On 08/25/2025 she exercised options to purchase 2,042 shares at an exercise price of $0.06 and sold those shares that day for a weighted average price of $5.65 (sales ranged $5.70–$5.65). On 08/26/2025 she exercised options to purchase 45,632 shares at $0.06 and sold them that day for a weighted average price of $7.01 (sales ranged $7.60–$6.70). The Form 4 indicates the transactions were made pursuant to a Rule 10b5-1 plan and notes that the stock options are fully vested.

Positive

• Exercise and sale of vested options converted option holdings into realized proceeds at weighted average sale prices of $5.65 and $7.01.
• Transactions executed under a Rule 10b5-1 plan, which the filer checked on the form, indicating preplanned trading.
• Options fully vested, as disclosed in the Form 4, enabling immediate exercise and sale.

Negative

• None.

Insights

Financial Analyst

TL;DR: Insider exercised vested options and sold shares under a 10b5-1 plan, realizing material per-share gains over the $0.06 exercise price.

The reporting person exercised two blocks of fully vested options (2,042 and 45,632 shares) at a nominal exercise price of $0.06 and sold the resulting shares immediately at weighted average prices of $5.65 and $7.01. This sequence converted option value into realized proceeds and reduced the insider's direct stock position to zero for the sold lots. The disclosure of a 10b5-1 plan provides procedural context that the sales were preplanned, which can reduce concerns about opportunistic timing but does not itself quantify proceeds or tax implications. All facts are taken directly from the Form 4.

Corporate Governance Expert

TL;DR: Transactions were reported transparently and executed under a documented 10b5-1 plan; options were fully vested.

The Form 4 clearly reports option exercises followed by sales on consecutive dates and discloses that the transactions were pursuant to a Rule 10b5-1 plan. The filing also states the stock options were fully vested, which is relevant to governance review of insider liquidity and alignment. The filer provides weighted-average sale price ranges in footnotes, and undertakes to supply detailed price-by-price breakdown on request, meeting disclosure expectations in this context.

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)
08/25/2025

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	08/25/2025		M		2,042	A	$0.06	2,042	D
Common Stock	08/26/2025		M		45,632	A	$0.06	45,632	D
Common Stock	08/25/2025		S		2,042	D	$5.65(1)	0	D
Common Stock	08/26/2025		S		45,632	D	$7.01(2)	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	08/25/2025		M			2,042	(3)	05/06/2031	Common Stock	2,042	$0	467,144	D
Stock Option (right to buy)	$0.06	08/26/2025		M			45,632	(3)	05/06/2031	Common Stock	45,632	$0	421,512	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 $5.70 to $5.65. 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 price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.60 to $6.70. 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.

3. The stock options are fully vested.

Remarks:

	/s/ Randall Moreadith	08/27/2025
	** 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 transactions did SER Chief Scientific Officer Moreadith Randall report?

She exercised two blocks of fully vested options (2,042 and 45,632 shares) at $0.06 and sold the resulting shares on 08/25/2025 and 08/26/2025 at weighted average prices of $5.65 and $7.01 respectively.

Were the sales by the SER insider part of a 10b5-1 trading plan?

Yes. The Form 4 indicates the transactions were made pursuant to a Rule 10b5-1(c) plan.

Are the stock options exercised by the SER insider vested?

Yes. The Form 4 states the stock options are fully vested.

What price ranges were disclosed for the sales of SER shares?

Footnotes report ranges: 08/25/2025 sales ranged from $5.70 to $5.65; 08/26/2025 sales ranged from $7.60 to $6.70. The form lists weighted average prices of $5.65 and $7.01.

How many shares did the insider acquire via option exercise?

2,042 shares on 08/25/2025 and 45,632 shares on 08/26/2025, each acquired at an exercise price of $0.06 per share.