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

Serina Therapeutics (SER) insider exercises $0.06 options and sells shares

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

Rhea-AI Filing Summary

Serina Therapeutics, Inc. reported transactions by its Chief Scientific Officer involving stock options and common stock in early December 2025. On December 2, 2025, the officer exercised stock options to acquire 1,500 shares of common stock at an exercise price of $0.06 per share, then sold 1,500 shares at a weighted average price of $3.9052 per share. On December 3, 2025, the officer exercised additional options for 5,000 shares at $0.06 per share and sold 5,000 shares at a weighted average price of $3.5246 per share.

After these transactions, the officer reported owning no shares of common stock directly, while continuing to hold 371,686 stock options with an exercise price of $0.06 per share, expiring on May 6, 2031. The weighted average sale prices reflect multiple trades within price ranges disclosed in the footnotes, and the options involved in these sales are fully vested.

Positive

  • None.

Negative

  • None.
Insider Moreadith Randall
Role Chief Scientific Officer
Sold 6,500 shs ($23K)
Type Security Shares Price Value
Exercise Stock Option (right to buy) 5,000 $0.00 --
Exercise Common Stock 5,000 $0.06 $300.00
Sale Common Stock 5,000 $3.5246 $18K
Exercise Stock Option (right to buy) 1,500 $0.00 --
Exercise Common Stock 1,500 $0.06 $90.00
Sale Common Stock 1,500 $3.9052 $6K
Holdings After Transaction: Stock Option (right to buy) — 371,686 shares (Direct); Common Stock — 5,000 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 $3.90 to $3.9112. 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 price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.47 to $3.55. 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.
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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).
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)
12/02/2025
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 12/02/2025 M 1,500 A $0.06 1,500 D
Common Stock 12/02/2025 S 1,500 D $3.9052(1) 0 D
Common Stock 12/03/2025 M 5,000 A $0.06 5,000 D
Common Stock 12/03/2025 S 5,000 D $3.5246(2) 0(2) 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 12/02/2025 M 1,500 (3) 05/06/2031 Common Stock 1,500 $0 376,686 D
Stock Option (right to buy) $0.06 12/03/2025 M 5,000 (3) 05/06/2031 Common Stock 5,000 $0 371,686 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 $3.90 to $3.9112. 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 $3.47 to $3.55. 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 12/04/2025
** 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 insider transactions did Serina Therapeutics (SER) disclose for December 2025?

The Chief Scientific Officer of Serina Therapeutics, Inc. exercised stock options and sold the resulting common shares on December 2, 2025 and December 3, 2025, covering a total of 6,500 shares.

How many Serina Therapeutics (SER) shares were sold in these insider transactions?

The officer sold 1,500 shares of common stock on December 2, 2025 and 5,000 shares on December 3, 2025, for a combined total of 6,500 shares.

What prices were received for the Serina Therapeutics (SER) share sales?

The December 2 sale had a weighted average price of $3.9052 per share, while the December 3 sale had a weighted average price of $3.5246 per share, each based on multiple trades within disclosed price ranges.

What was the stock option exercise price in the Serina Therapeutics (SER) insider transactions?

The stock options were exercised at an exercise price of $0.06 per share on both December 2, 2025 and December 3, 2025.

How many Serina Therapeutics (SER) stock options does the officer hold after these transactions?

Following the reported transactions, the officer beneficially owned 371,686 stock options with an exercise price of $0.06 per share, expiring on May 6, 2031.

Does the officer still directly own Serina Therapeutics (SER) common stock after these trades?

After the reported sales on December 2 and December 3, 2025, the officer reported owning 0 shares of common stock directly.