Serina Therapeutics, Inc. (SER) SEC filings document a clinical-stage biotechnology company developing its proprietary POZ Platform™ drug optimization technology and SER-252 for advanced Parkinson’s disease. The company’s filings cover quarterly financial reports, material event reports, securities registration statements, governance matters, financing agreements, and clinical-program updates.
For biotechnology investors, Serina’s 10-Q quarterly reports are useful for reviewing research and development activity, warrant liabilities, stockholders’ equity matters, related-party disclosures, and financing instruments. Material event filings have disclosed SER-252 study updates, Safety Monitoring Committee review, cohort advancement, financial results releases, employment agreements, director appointments, annual meeting voting results, and amendments to authorized share capital.
Registration statements and related 8-K filings provide detail on common stock purchase agreements, resale registration matters, selling stockholder arrangements, and potential issuance of common stock. Annual reports on Form 10-K, when available, are important for reviewing risk factors, business descriptions, liquidity discussion, executive compensation references, and audited financial statements. Insider transaction filings on Form 4 are relevant for tracking reported purchases, sales, grants, and other ownership changes by company insiders.
Key SER filing topics include the SER-252 advanced Parkinson’s disease program, POZ Platform research and development, financing capacity, equity-linked instruments, governance actions, and the company’s reported segment related to POZ platform research and development.
Serina Therapeutics, Inc. filed a current report to furnish, rather than file, a press release dated September 9, 2025 under Item 7.01 (Regulation FD Disclosure). The press release is attached as Exhibit 99.1.
The company states that this information is not deemed filed or automatically incorporated by reference into any Securities Act registration statement unless specifically identified. The report clarifies that inclusion of the press release does not represent a determination that its contents are material or complete for investment decisions.
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.
Serina Therapeutics reported that the U.S. Food and Drug Administration provided written feedback after a recent Type B meeting supporting advancement of its drug candidate SER-252 (POZ-apomorphine) into a registrational clinical study program for advanced Parkinson’s disease. The program is expected to proceed under the 505(b)(2) New Drug Application pathway, which allows reliance on certain existing data for approval. The company communicated this update through a press release that is attached as an exhibit to the report.
Serina Therapeutics, Inc. reported that its Board of Directors amended the company’s Amended and Restated Bylaws on August 18, 2025. The changes add safe harbor procedures for company actions or transactions where directors, officers, controlling stockholders, or control groups have interests or relationships that could make them “interested” or not independent for that matter. The amendment also supplements the existing forum selection clause in the certificate of incorporation, extending it to stockholder claims, when acting as stockholders or on behalf of the corporation, that relate to the company’s business, affairs, or the rights or powers of the company, its stockholders, directors, or officers.
Randall Moreadith, Chief Scientific Officer of Serina Therapeutics (SER), reported option exercises and immediate sales in August 2025. On 08/18/2025 she exercised 2,227 stock options at a $0.06 strike and sold the resulting shares at $5.25. On 08/20/2025 she exercised 2,077 stock options at $0.06 and sold those shares at $5.10. The filing states the stock options are fully vested. Table entries show derivative holdings after the transactions of 471,263 and 469,186 option-based underlying shares, reported as direct holdings. The reporting person signed the Form 4 on 08/20/2025.
Serina Therapeutics furnished a press release announcing its financial results for the quarter ended June 30, 2025. The current report states the press release is provided as Exhibit 99.1 and that the information is furnished, not filed, meaning it is not automatically incorporated by reference into other SEC filings.
This 8-K does not include the text of the financial results within the report itself; readers must consult Exhibit 99.1 for detailed revenue, expense, profitability or other performance metrics.
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.
Insider transaction summary (SEC Form 4)
On 07/28/2025, Serina Therapeutics (SER) Chief Scientific Officer Dr. Randall Moreadith exercised 6,500 stock options at a strike of $0.06 and immediately sold the resulting shares in the open market. The weighted-average sale price was $5.89 (price range $6.02–$5.60). Net of the option cost, the insider realized roughly $38 k in gross proceeds, while the company received only ~$390 from the option exercise.
After the transactions the officer now holds 0 common shares directly, but still owns 488,686 fully-vested options expiring 05/06/2031. The divestment is immaterial relative to SER’s share count and does not alter overall insider exposure, yet it removes all direct share ownership for this executive.
No other securities, derivatives or accompanying disclosures were reported.