Form 4 for SER Serina Therapeutics, Inc.
Accepted 2026-06-22 19:14:29 ET · period of report 2026-06-17 · accession 0001329505-26-000007 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2026-06-22 19:14 | 2026-06-17 | SER | Bailey Gregory | Dir | C - Cnv Deriv | $2.25 | +8.44M | 8.56M | +6,648% | +$18.98M |
| DM | 2026-06-22 19:14 | 2026-06-17 | SER | Bailey Gregory | Dir | A - Grant | $0.00 | +3.35M | 3.33M | New | $0 |
| D | 2026-06-22 19:14 | 2026-06-17 | SER | Bailey Gregory | Dir | C - Cnv Deriv | $2.25 | -762.5K | 0 | -100% | -$1.72M |
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 | 2026-06-17 | C | A | 1,770,805 | $2.25 | 1,897,445 | D | — | — | (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. (F2) The share ownership amount has been updated to reflect the correct number of shares beneficially owned by the Reporting Person. |
| 2 | Common | Common Stock | 2026-06-17 | C | A | 6,666,667 | $2.25 | 8,564,382 | D | — | — | (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. |
| 3 | Derivative | Stock Option (right to buy) | 2026-06-17 | A | A | 15,250 | $0.00 | 15,250 | D | $1.98 · — to 2036-06-17 | 15,250 Common Stock | (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. |
| 4 | Derivative | Redeemable Warrants | 2026-06-17 | A | A | 3,333,333 | $0.00 | 3,333,333 | D | $5.00 · 2026-09-17 to 2030-03-17 | 3,333,333 Common Stock | (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. |
| 5 | Derivative | Series A Convertible Preferred Stock | 2026-06-17 | C | D | 762,548 | $2.25 | 0 | D | $5.18 · 2025-04-08 to — | 1,755,555 Common Stock, $0.0001 par value | (F6) The Series A Convertible Preferred Stock is perpetual and therefore has no expiration date. |