Form 4 for SER Serina Therapeutics, Inc.
Accepted 2023-03-14 00:00:00 ET · period of report 2023-03-11 · accession 0001209191-23-018774 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2023-03-14 | 2023-03-11 | SER | WEST MICHAEL D | CEO | M - OptEx | $0.00 | +3,125 | 43.0K | +8% | $0 |
| D | 2023-03-14 | 2023-03-11 | SER | WEST MICHAEL D | CEO | F - Tax | $0.59 | -1,060 | 42.0K | -2% | -$625.40 |
| D | 2023-03-14 | 2023-03-11 | SER | WEST MICHAEL D | CEO | M - OptEx | $0.00 | -3,125 | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock, $0.0001 par value | 2023-03-11 | M | A | 3,125 | $0.00 | 43,042 | D | — | — | (F1) Excludes shares owned by former spouse of which Dr. West disclaims beneficial ownership. |
| 2 | Common | Common Stock, $0.0001 par value | 2023-03-11 | F | D | 1,060 | $0.59 | 41,982 | D | — | — | (F1) Excludes shares owned by former spouse of which Dr. West disclaims beneficial ownership. |
| 3 | Derivative | Restricted Stock Units | 2023-03-11 | M | D | 3,125 | $0.00 | 0 | D | $0.00 · — to — | 3,125 Common Stock | (F3) Restricted Stock Units vested on March 11, 2023. |