Serina Therapeutics SEC Filings

Serina Therapeutics, Inc. officer reports option exercise and share sale. The company’s Chief Scientific Officer exercised stock options for 6,500 shares of common stock at an exercise price of $0.06 per share on 11/18/2025. On the same date, 6,500 shares of common stock were sold in an open market transaction at a weighted average price of $3.7541 per share, leaving 0 shares of common stock directly owned after the transaction. The filing also shows that 384,686 stock options with a $0.06 exercise price remained beneficially owned following the reported transactions, and these options are fully vested with an expiration date of 05/06/2031.

Serina Therapeutics furnished an 8-K announcing its financial results for the quarter ended September 30, 2025. The results are provided in a press release attached as Exhibit 99.1.

The company stated this information is furnished, not filed, under the Exchange Act and is not incorporated by reference except as specifically set forth. The filing lists the company’s common stock trading on NYSE American under the symbol SER.

Serina Therapeutics reported Q3 2025 results marked by losses and liquidity pressure. The company posted a net loss of $4.6 million for the quarter and $15.9 million for the nine months ended September 30, 2025, with no Q3 revenue and $0.1 million in grant revenue year to date. Cash and cash equivalents were $8.6 million as of September 30, 2025. Management states there is substantial doubt about the company’s ability to continue as a going concern.

Operating cash outflow was $11.9 million for the nine‑month period. To bolster liquidity, Serina raised capital through a $4.9 million private placement of Series A preferred stock, $2.2 million of net proceeds via an at‑the‑market program, and drew $5.0 million from a new unsecured convertible note that provides up to $20 million across clinical milestones. The FDA placed a clinical hold on the IND for SER‑252 on November 3, 2025, requesting additional information on an excipient. Shares outstanding were 10,664,064 as of November 10, 2025.

Serina Therapeutics (SER) insider transaction: The Chief Scientific Officer exercised stock options for 6,500 shares at $0.06 on 11/10/2025 and sold 6,500 shares of common stock at a weighted average price of $4.10. The filing notes sales occurred in multiple trades between $4.30 and $4.00. Following these transactions, common stock beneficial ownership was 0 shares.

The option exercised was a stock option (right to buy) fully vested, with an expiration date of 05/06/2031. Derivative securities beneficially owned after the reported transactions totaled 391,186 options.

Serina Therapeutics (SER) reported results from its 2025 Annual Meeting held on November 7, 2025. A quorum was present.

Shareholders elected two directors: Steve Ledger (For: 4,165,885; Withheld: 93,287; Broker non-votes: 2,681,141) and Karen J. Wilson (For: 4,169,893; Withheld: 89,279; Broker non-votes: 2,681,141) to serve until the 2028 meeting.

Shareholders ratified Frazier & Deeter, LLC as independent auditor for 2025 (For: 6,544,850; Against: 377,827; Abstain: 17,636). They also approved the issuance of common stock in connection with the exercise of the Convertible Note and Warrants (For: 4,149,038; Against: 108,481; Abstain: 1,653; Broker non-votes: 2,681,141).

Serina Therapeutics (SER) reported a director stock option grant. On 11/07/2025, the reporting person received stock options for 10,000 shares at a $3.91 exercise price. The options vest on the earlier of the day before the next Annual Meeting or the one-year anniversary of the grant date, subject to continued service. The options expire on 11/07/2035. Following the grant, 10,000 derivative securities were beneficially owned, held directly. The transaction was coded “A” for award/grant.

Serina Therapeutics (SER) reported a director equity grant. On 11/07/2025, a stock option (right to buy) for 10,000 shares was awarded at an exercise price of $3.91 per share, coded A for grant. The option expires on 11/07/2035 and was recorded as Direct (D) ownership with 10,000 derivative securities beneficially owned after the transaction.

The options vest on the earlier of the day before the next Annual Meeting or the one-year anniversary of the grant date, subject to the director’s continued service.

Serina Therapeutics (SER) reported a director equity award. On 11/07/2025, the director received stock options for 10,000 shares at an exercise price of $3.91, expiring on 11/07/2035. The options vest on the earlier of the day before the next Annual Meeting or the one-year anniversary of the grant date, subject to continued service. Following the award, the reporting person beneficially owned 10,000 derivative securities directly.

Serina Therapeutics (SER) reported a routine insider equity award. A director received a stock option grant for 10,000 shares on 11/07/2025 with an exercise price of $3.91 and an expiration date of 11/07/2035.

The options vest on the earlier of the day before the next Annual Meeting or the one-year anniversary of the grant date, conditioned on continued service. The filing lists the derivative security as directly owned and records the post‑transaction derivative balance at 10,000.