Randall Moreadith - 25 Aug 2025 Form 4 Insider Report for Serina Therapeutics, Inc. (SER)

Role
Chief Scientific Officer
Signature
/s/ Randall Moreadith
Issuer symbol
SER
Transactions as of
25 Aug 2025
Net transactions value
-$328,557
Form type
4
Filing time
27 Aug 2025, 17:16:39 UTC
Previous filing
20 Aug 2025
Next filing
14 Oct 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Moreadith Randall Chief Scientific Officer 601 GENOME WAY, SUITE 2001, HUNTSVILLE /s/ Randall Moreadith 27 Aug 2025 0001301120

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SER Common Stock Options Exercise $123 +2,042 $0.0600 2,042 25 Aug 2025 Direct
transaction SER Common Stock Options Exercise $2,738 +45,632 $0.0600 45,632 26 Aug 2025 Direct
transaction SER Common Stock Sale $11,537 -2,042 -100% $5.65 0 25 Aug 2025 Direct F1
transaction SER Common Stock Sale $319,880 -45,632 -100% $7.01 0 26 Aug 2025 Direct F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction SER Stock Option (right to buy) Options Exercise $0 -2,042 -0.44% $0.000000 467,144 25 Aug 2025 Common Stock 2,042 $0.0600 Direct F3
transaction SER Stock Option (right to buy) Options Exercise $0 -45,632 -9.8% $0.000000 421,512 26 Aug 2025 Common Stock 45,632 $0.0600 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

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).

Explanation of Responses:

Id Content
F1 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 $5.70 to $5.65. 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.
F2 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 $7.60 to $6.70. 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.
F3 The stock options are fully vested.