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

Rhea-AI Filing Summary

Report: Form 4 filed by Moreadith Randall (Chief Scientific Officer) for Serina Therapeutics, Inc. (SER).

Transactions (08/04/2025): The reporting person acquired 5,500 shares of common stock at $0.06 (Table I, Code M) and sold 5,500 shares of common stock at a weighted average price of $5.17 (Table I, Code S); post-transaction common stock beneficially owned: 0. Footnote states sale prices ranged $5.13–$5.35. The reporting person also holds stock options: 5,500 options exercisable through 05/06/2031 and 478,990 derivative securities beneficially owned following the reported transactions (direct). Options are reported as fully vested. Earliest transaction date: 08/04/2025; Form signed 08/05/2025.

Insights

Financial Analyst

TL;DR: Insider exercised 5,500 options at $0.06 and sold 5,500 shares at a weighted avg $5.17 on 08/04/2025; neutral investor signal.

This Form 4 discloses a contemporaneous option exercise (Code M) and sale (Code S) for the same quantity: 5,500 shares. The exercise price was $0.06 and the reported weighted-average sale price was $5.17 (sales ranged $5.13–$5.35). Post-transaction direct common holdings are reported as 0, while total derivative securities beneficially owned are 478,990. For valuation impact, the disclosed sale quantity is small relative to the reported derivative stake; the filing provides no forward guidance or corporate event linkage.

Corporate Governance Expert

TL;DR: CSO Moreadith Randall reported a routine exercise-and-sale on 08/04/2025; disclosures and footnotes meet Form 4 requirements.

The filing identifies the reporting person as the Chief Scientific Officer and includes explanatory footnotes detailing weighted-average sale pricing and that the options are fully vested. Transaction codes (M and S) are disclosed and dates/signature are present. No indication of amendment or Section 16 termination is included. Impact to governance or control appears non-material based on provided quantities and disclosures.

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
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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)
08/04/2025

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	08/04/2025		M		5,500	A	$0.06	5,500	D
Common Stock	08/04/2025		S		5,500	D	$5.17(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	08/04/2025		M			5,500	(2)	05/06/2031	Common Stock	5,500	$0	478,990	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 $5.35 to $5.13. 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	08/05/2025
	** 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 transactions did the Serina Therapeutics (SER) CSO report on 08/04/2025?

The CSO acquired 5,500 shares at $0.06 (Code M) and sold 5,500 shares at a weighted avg price of $5.17 (Code S) on 08/04/2025.

How many shares does Moreadith Randall beneficially own after the reported transactions?

The filing reports 0 common shares beneficially owned following the reported Table I transactions and 478,990 derivative securities beneficially owned following the reported transactions.

What prices were associated with the sale reported on the Form 4?

The weighted-average sale price reported is $5.17; the explanatory footnote states individual sale prices ranged from $5.35 to $5.13.

Are the reported stock options vested and what are their exercisability/expiration dates?

Footnote indicates the stock options are fully vested. The reported options (5,500) have an expiration date of 05/06/2031.

When was the Form 4 signed and filed?

The signature block shows the Form 4 was signed by /s/ Randall Moreadith on 08/05/2025 and the earliest transaction date is 08/04/2025.