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

SER insider trade: 4,326-share sale after $0.06 option exercise

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

Rhea-AI Filing Summary

Serina Therapeutics (SER) reported an insider transaction by its Chief Scientific Officer. On 10/13/2025, the officer exercised a stock option for 4,326 shares at $0.06 per share and sold 4,326 common shares at a weighted average price of $5.20, with individual sale prices ranging from $5.25 to $5.18. Following these transactions, common stock beneficially owned was 0 shares, and derivative securities beneficially owned were 417,186 stock options. The reported stock options are fully vested and carry an expiration date of 05/06/2031.

Positive

  • None.

Negative

  • None.

Insights

Routine Form 4: small option exercise and sale; neutral impact.

The Chief Scientific Officer executed a standard two-step insider transaction: exercising 4,326 options at $0.06 and selling 4,326 shares at a weighted average of $5.20 on 10/13/2025. Such M-to-S sequences are common for liquidity or portfolio reasons.

Post-trade, reported common ownership is 0 shares, while 417,186 derivative securities remain. The options are fully vested and expire on 05/06/2031. No cash flows accrue to the company from this personal sale.

Given the limited size and routine nature, this filing does not materially alter the business outlook. Future disclosures may provide additional context on remaining derivative positions.

Insider Moreadith Randall
Role Chief Scientific Officer
Sold 4,326 shs ($22K)
Type Security Shares Price Value
Exercise Stock Option (right to buy) 4,326 $0.00 --
Exercise Common Stock 4,326 $0.06 $259.56
Sale Common Stock 4,326 $5.20 $22K
Holdings After Transaction: Stock Option (right to buy) — 417,186 shares (Direct); Common Stock — 4,326 shares (Direct)
Footnotes (1)
  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 $5.25 to $5.18. 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. The stock options are fully vested.
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).
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)
10/13/2025
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 10/13/2025 M 4,326 A $0.06 4,326 D
Common Stock 10/13/2025 S 4,326 D $5.2(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 10/13/2025 M 4,326 (2) 05/06/2031 Common Stock 4,326 $0 417,186 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 $5.25 to $5.18. 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 10/14/2025
** 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.

Source: View Original Filing on SEC EDGAR

FAQ

What did Serina Therapeutics (SER) disclose in this Form 4?

The Chief Scientific Officer exercised 4,326 options at $0.06 and sold 4,326 shares at a weighted average of $5.20 on 10/13/2025.

How many SER shares did the insider sell and at what price?

They sold 4,326 shares at a weighted average price of $5.20, with trades ranging from $5.25 to $5.18.

What is the insider’s remaining ownership in SER after the transaction?

Reported common stock beneficially owned is 0 shares; derivative securities beneficially owned are 417,186 stock options.

What were the transaction codes in the SER Form 4?

Code M for the option exercise and code S for the sale of common stock.

When do the reported SER stock options expire and are they vested?

The options are fully vested and expire on 05/06/2031.

Who is the reporting person in this SER filing and what is their role?

The reporting person is the Chief Scientific Officer of Serina Therapeutics.