Moreadith Randall 4

4 · Serina Therapeutics, Inc. · Filed Feb 3, 2026

AI-generated summary of this filing

Updated Feb 3, 2026

Serina Therapeutics (SER) CSO Moreadith Randall Exercises Options, Sells Shares

What Happened

Moreadith Randall, Chief Scientific Officer of Serina Therapeutics (SER), exercised 6,500 stock options at $0.06 per share on Feb 2, 2026 (cost $390) and immediately sold the 6,500 shares in the open market the same day for a weighted-average price of $3.03 per share, generating gross proceeds of about $19,680. The filing also reports the conversion/disposition of the derivative instrument related to those options.

Key Details

Transaction date: 2026-02-02 (reported on Form 4 filed 2026-02-03 — timely; Form 4 is due within two business days)
Actions and codes: M = option exercise/conversion (6,500 shares acquired at $0.06); S = open-market sale (6,500 shares sold at weighted avg $3.03)
Sale price range: transactions executed between $3.00 and $3.05 per share (footnote says weighted average; holder can provide breakdown on request)
Proceeds and cost: gross sale proceeds ≈ $19,680; exercise cost $390; approximate net before taxes/fees ≈ $19,290
Options status: the stock options exercised were fully vested (footnote F2)
Shares owned after transaction: not specified in the provided excerpt of the filing

Context

This is an option exercise followed by an immediate sale (a common cashless/covering transaction) rather than a straight open-market purchase; such transactions are routine and do not by themselves indicate future company performance.
Transaction codes: M = exercised/conversion of derivative; S = sale. No 10b5-1 plan, gift, or tax-withholding detail was provided in the supplied information.

Form 4

Period: 2026-02-02

Chief Scientific Officer

Transactions

Exercise/Conversion
Common Stock
2026-02-02$0.06/sh+6,500$390→ 6,500 total
Sale
Common Stock
[F1]
2026-02-02$3.03/sh−6,500$19,680→ 0 total
Exercise/Conversion
Stock Option (right to buy)
[F2]
2026-02-02−6,500→ 313,186 total
Exercise: $0.06Exp: 2031-05-06→ Common Stock (6,500 underlying)

Footnotes (2)

[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 $3.05 to $3.00. 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 stock options are fully vested.

Signature

/s/ Randall Moreadith|2026-02-03

1 file