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

Serina Therapeutics insider exercises options, sells 5,965 SER shares

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

Rhea-AI Filing Summary

Serina Therapeutics, Inc. (SER) reported an insider equity transaction by its Chief Scientific Officer on 11/25/2025. The officer exercised a stock option to buy 5,965 shares of common stock at an exercise price of $0.06 per share, then sold 5,965 shares of common stock at a weighted average price of $3.9001 per share, with individual sale prices ranging from $3.90 to $3.91.

After these transactions, the officer directly beneficially owned 5,965 shares of common stock and held 378,186 stock options directly. The filing notes that the reported sale price is a weighted average and the officer will provide details of the individual trade prices upon request.

Positive

  • None.

Negative

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Insider Moreadith Randall
Role Chief Scientific Officer
Sold 5,965 shs ($23K)
Type Security Shares Price Value
Exercise Stock Option (right to buy) 5,965 $0.00 --
Exercise Common Stock 5,965 $0.06 $357.90
Sale Common Stock 5,965 $3.9001 $23K
Holdings After Transaction: Stock Option (right to buy) — 378,186 shares (Direct); Common Stock — 11,930 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 $3.91. 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).
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)
11/25/2025
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 11/25/2025 M 5,965 A $0.06 11,930 D
Common Stock 11/25/2025 S 5,965 D $3.9001(1) 5,965 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 11/25/2025 M 5,965 (2) 05/06/2031 Common Stock 5,965 $0 378,186 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 $3.90 to $3.91. 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 11/26/2025
** 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 transaction did Serina Therapeutics (SER) report on this Form 4?

The Chief Scientific Officer of Serina Therapeutics (SER) exercised a stock option for 5,965 shares of common stock at $0.06 per share and sold 5,965 shares at a weighted average price of $3.9001 per share on 11/25/2025.

What prices were involved in the Serina Therapeutics (SER) insider’s trades?

The officer exercised stock options at an exercise price of $0.06 per share and sold the acquired common shares at a weighted average price of $3.9001 per share, with individual sale prices ranging from $3.90 to $3.91.

How many Serina Therapeutics (SER) shares does the insider own after the Form 4 transaction?

Following the reported trades, the Chief Scientific Officer directly beneficially owned 5,965 shares of Serina Therapeutics common stock.

How many stock options does the Serina Therapeutics (SER) insider hold after the transaction?

After the transaction, the officer held 378,186 stock options directly, with the reported 5,965 stock options exercised on 11/25/2025 and noted as fully vested.

Were the Serina Therapeutics (SER) stock options fully vested at exercise?

Yes. The filing states that the stock options are fully vested at the time of the 5,965-share option exercise.

How is the sale price disclosed for the Serina Therapeutics (SER) insider trade?

The sale price of $3.9001 reported in Table I is a weighted average price. The shares were sold in multiple transactions between $3.90 and $3.91, and the officer undertakes to provide detailed breakdowns upon request.