Serina Therapeutics (SER) CSO exercises options and sells 2,500 shares

Rhea-AI Filing Summary

Serina Therapeutics, Inc. Chief Scientific Officer Randall Moreadith reported an option exercise and share sale. On January 22, 2026, he exercised a stock option for 2,500 shares of common stock at an exercise price of $0.06 per share, converting a stock option (right to buy) into common stock. That same day, he sold 2,500 shares of common stock in an open market transaction at a price of $2.95 per share, leaving him with 0 shares of common stock directly held after the sale.

Following these transactions, Moreadith continued to hold 326,186 stock options directly, according to the filing. A footnote states that the stock options involved are fully vested, meaning they were already earned and exercisable at the time of the transaction.

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

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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)
01/22/2026

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	01/22/2026		M		2,500	A	$0.06	2,500	D
Common Stock	01/22/2026		S		2,500	D	$2.95	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	01/22/2026		M			2,500	(1)	05/06/2031	Common Stock	2,500	$0	326,186	D

Explanation of Responses:

1. The stock options are fully vested.

Remarks:

	/s/ Randall Moreadith	01/23/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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FAQ

What insider transaction did Serina Therapeutics (SER) disclose in this Form 4?

The filing shows that Chief Scientific Officer Randall Moreadith exercised a stock option for 2,500 shares of common stock at $0.06 per share on January 22, 2026, and sold 2,500 shares of common stock at $2.95 per share the same day.

Who is the insider involved in the Serina Therapeutics (SER) Form 4 and what is their role?

The insider is Randall Moreadith, who serves as Chief Scientific Officer of Serina Therapeutics, Inc. He is identified as an officer and not a director or 10% owner in the filing.

How many Serina Therapeutics (SER) shares did the insider sell and at what price?

On January 22, 2026, Randall Moreadith sold 2,500 shares of Serina Therapeutics common stock in a transaction coded "S" at a price of $2.95 per share.

What stock options did the Serina Therapeutics (SER) insider exercise in this Form 4?

Moreadith exercised a stock option (right to buy) with an exercise price of $0.06 for 2,500 underlying shares of common stock on January 22, 2026. The option has an expiration date of May 6, 2031, and a footnote states these stock options are fully vested.

How many Serina Therapeutics (SER) shares and options does the insider hold after the reported transactions?

After the reported sale, Randall Moreadith held 0 shares of Serina Therapeutics common stock directly. He continued to hold 326,186 stock options (right to buy) directly following the transactions.

Are the stock options in the Serina Therapeutics (SER) Form 4 vested?

Yes. A footnote in the filing states that the stock options are fully vested, meaning they were already exercisable at the time of the reported transactions.