Gregory H. Bailey - 17 Jun 2026 Form 4 Insider Report for Serina Therapeutics, Inc. (SER)

Reporting relationship: Director
Issuer ticker: SER
Reported as of: 17 Jun 2026
Net transaction value: $0
SEC form: 4
Accepted by SEC: 22 Jun 2026, 19:14:29 UTC
Prior SEC filing: 30 Apr 2026
Source filing: View source filing
Reporting owner signature: /s/ Steven Ledger, Attorney in Fact

Key filing fact

Gregory H. Bailey filed Form 4 for Serina Therapeutics, Inc. (SER) on 22 Jun 2026.

Key facts

This page summarizes Gregory H. Bailey's Form 4 filing for Serina Therapeutics, Inc. (SER).
5 reported transactions and 3 derivative rows are listed below.
Accepted by SEC: 22 Jun 2026, 19:14.

Change

Previous filing in this sequence was filed on 30 Apr 2026.
Current net transaction value: $0.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reporting Owners (1)

CIK 0001329505 Primary reporting owner

Bailey Gregory

Relationship: Director
Address: 601 GENOME WAY, SUITE 2001, HUNTSVILLE
Signature: /s/ Steven Ledger, Attorney in Fact
Signature date: 22 Jun 2026

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

SER transaction

Common Stock

Conversion of derivative security

Transaction value
Shares: +1,770,805
Change %: +1398%
Price: $2.25^*
Shares after: 1,897,445
Date: 17 Jun 2026
Ownership: Direct
Footnotes: F1, F2

SER transaction

Common Stock

Conversion of derivative security

Transaction value
Shares: +6,666,667
Change %: +351%
Price: $2.25^*
Shares after: 8,564,382
Date: 17 Jun 2026
Ownership: Direct
Footnotes: F3

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

SER transaction Derivative

Stock Option (right to buy)

Award

Transaction value
Shares: +15,250
Change %
Price: $0.000000^*
Shares after: 15,250
Date: 17 Jun 2026
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 15,250
Exercise price: $1.98
Footnotes: F4

SER transaction Derivative

Redeemable Warrants

Award

Transaction value
Shares: +3,333,333
Change %
Price: $0.000000^*
Shares after: 3,333,333
Date: 17 Jun 2026
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 3,333,333
Exercise price: $5.00
Footnotes: F5

SER transaction Derivative

Series A Convertible Preferred Stock

Conversion of derivative security

Transaction value
Shares: -762,548
Change %: -100%
Price: $2.25^*
Shares after: 0
Date: 17 Jun 2026
Ownership: Direct
Underlying class: Common Stock, $0.0001 par value
Underlying amount: 1,755,555
Exercise price: $5.18
Footnotes: F6

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 6 footnotes

Footnote F1

Shares reflect the mandatory conversion at an adjusted Conversion Price of $2.25 of the Company's Series A Convertible Preferred Stock ("Series A Preferred") issued in connection with the April 2025 Private Placement. The Reporting Person was originally issued 762,548 shares of Series A Preferred that were converted into 1,755,555 shares of Common Stock and 15,250 shares that were issued for payment of accrued dividends. Shares were issued upon receipt of stockholder approval, which approval was obtained on June 17, 2026, and the underlying Common Stock shares were issued on June 17, 2026.

Footnote F2

The share ownership amount has been updated to reflect the correct number of shares beneficially owned by the Reporting Person.

Footnote F3

Issued pursuant to a Securities Purchase Agreement dated March 17, 2026, at a purchase price of $2.2499 per pre-funded warrant (reflecting a $0.0001 exercise price). The Pre-Funded Warrants have no expiration date and are subject to customary beneficial ownership limitations. The exercise price and share count are subject to adjustment for stock splits, dividends, and similar events. Under NYSE American rules, issuance of the underlying shares to the reporting person is subject to prior stockholder approval which was obtained on June 17, 2026, thereby triggering the automatic conversion of the Pre-Funded Warrants into common stock.

Footnote F4

The stock options will vest on the earlier of (i) the day before the next Annual Meeting or (ii) the one-year anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer through the applicable vesting dates.

Footnote F5

Issued pursuant to the same Securities Purchase Agreement dated March 17, 2026, covering 50% of the shares underlying the Pre-Funded Warrants acquired by the reporting person. The Company may call the warrants at $0.01 per underlying share upon 30 days' notice if the Common Stock closing price equals or exceeds $10.00 on the business day prior to the redemption notice, on the earlier of (i) 30 days after first patient dosing in Cohort 2 of the Company's SER-252 Phase 1b SAD study or (ii) September 30, 2026. Holders have 30 days to exercise following a call notice.

Footnote F6

The Series A Convertible Preferred Stock is perpetual and therefore has no expiration date.