Form 4: Serina Therapeutics CSO Sells Shares After Option Exercise

Serina Therapeutics' Chief Scientific Officer, Randall Moreadith, sold common stock after exercising stock options in two separate, pre-planned transactions.

Summary

• Randall Moreadith, Chief Scientific Officer of Serina Therapeutics, Inc., reported two transactions involving the exercise of stock options and subsequent sale of common stock.
• On December 9, 2025, Mr. Moreadith exercised options to acquire 600 shares of common stock at an exercise price of $0.06 per share.
• Immediately following the option exercise on December 9, 2025, he sold all 600 shares at a weighted average price of $3.3133 per share.
• On December 10, 2025, Mr. Moreadith exercised options to acquire an additional 645 shares of common stock at an exercise price of $0.06 per share.
• Immediately following the option exercise on December 10, 2025, he sold all 645 shares at a price of $3.35 per share.
• These transactions were made pursuant to a Rule 10b5-1(c) contract, instruction, or written plan for the purchase or sale of equity securities.
• Following these transactions, Mr. Moreadith's direct beneficial ownership of common stock is 0 shares, while he retains 370,441 derivative securities (stock options).

Sentiment

Score: 5

Explanation: The sentiment is neutral. While insider selling can be perceived negatively, these transactions were pre-planned under a 10b5-1 plan, often for personal liquidity or tax management, and the officer still retains a significant number of options. The transactions represent a routine exercise and sale for an executive.

Positives

• The Chief Scientific Officer realized significant gains by exercising stock options at a low price ($0.06) and selling the shares at substantially higher market prices ($3.3133 and $3.35).
• The transactions were conducted under a Rule 10b5-1(c) plan, indicating they were pre-scheduled and not based on immediate, non-public information.

Negatives

• The Chief Scientific Officer sold all shares acquired from the option exercises, resulting in a reduction of his direct common stock ownership to zero.
• Insider selling, even if pre-planned, can sometimes be interpreted negatively by investors as it reduces management's direct equity stake in the company.

Future Outlook

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

Management Comments

• The reporting person undertakes to provide to Serina Therapeutics, Inc., any security holder of Serina Therapeutics, 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.

Industry Context

This filing reports an individual insider transaction and does not provide broader industry context or trends.

Related Party Transactions

• The transactions involve an officer of Serina Therapeutics, Inc. (Randall Moreadith) and are considered insider transactions.

Stakeholder Impact

• Shareholders might interpret the insider selling as a slight negative signal, although the pre-planned nature under Rule 10b5-1(c) mitigates concerns about opportunistic selling.
• The company's overall financial position is not directly impacted by these personal transactions, but investor sentiment could be influenced.

Key Dates

Keywords

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