Form 4: Serina Therapeutics CSO Sells Shares After Option Exercise

Serina Therapeutics' Chief Scientific Officer, Randall Moreadith, exercised stock options and subsequently sold 3,227 shares of common stock under a pre-arranged 10b5-1 plan.

Summary

• Randall Moreadith, Chief Scientific Officer of Serina Therapeutics, Inc. [SER], reported an insider transaction on December 16, 2025.
• The transaction involved the exercise of 3,227 stock options at an exercise price of $0.06 per share.
• Immediately following the exercise, 3,227 shares of common stock were sold at a weighted average price of $2.9631 per share.
• The sales were executed in multiple transactions with prices ranging from $2.96 to $3.00 per share.
• This transaction was conducted pursuant to a Rule 10b5-1(c) plan, indicating it was pre-scheduled.
• Following these transactions, Randall Moreadith beneficially owns 0 shares of common stock directly and 361,959 derivative securities (stock options).
• The stock options exercised were fully vested.

Sentiment

Score: 5

Explanation: The transaction is a routine insider sale under a 10b5-1 plan, indicating a pre-scheduled liquidity event rather than a reaction to new company developments. While insider selling can sometimes be viewed negatively, the small size relative to the company and the pre-planned nature make it largely neutral.

Positives

• The transaction was conducted under a Rule 10b5-1 plan, suggesting a pre-planned liquidity event rather than a reaction to new, non-public information.
• The exercise of options at $0.06 and sale at a weighted average price of $2.9631 indicates a significant personal gain for the executive, potentially reflecting value creation from the company's stock performance.

Negatives

• Insider selling, even if pre-planned, can sometimes be perceived by the market as a lack of confidence, though this is a relatively small transaction.
• The reporting person's direct beneficial ownership of common stock is now 0 following the sale.

Future Outlook

This Form 4 filing does not contain any forward-looking statements or guidance regarding the company's future outlook.

Management Comments

• 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 $3.00 to $2.96.
• 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.
• The stock options are fully vested.

Industry Context

Insider transactions, such as option exercises and subsequent share sales, are common events in publicly traded companies. They often represent executives managing personal finances or diversifying their portfolios, especially when conducted under pre-arranged 10b5-1 plans, which are designed to mitigate concerns about trading on material non-public information. This specific transaction by a Chief Scientific Officer is a routine liquidity event.

Comparison to Industry Standards

• Not applicable. This Form 4 reports a standard insider transaction for personal financial management, not company performance or project results that would be benchmarked against industry peers.

Stakeholder Impact

• Shareholders: Minor, as the sale is small (3,227 shares) and pre-planned, suggesting no immediate negative signal about company prospects. It represents a routine liquidity event for an executive.

Next Steps

• No specific future actions or milestones are mentioned in this Form 4 filing beyond the reporting person's undertaking to provide detailed sales information upon request.

Key Dates

Keywords

Serina Therapeutics, SER, Randall Moreadith, Chief Scientific Officer, Insider Trading, Form 4, Stock Option Exercise, Share Sale, 10b5-1 Plan, Biotechnology, Pharmaceuticals