Form 4 for SER Serina Therapeutics, Inc.
Accepted 2026-06-22 19:15:02 ET · period of report 2026-05-22 · accession 0001413350-26-000004 · 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 | 2026-06-22 19:15 | 2026-05-22 | SER | Venkatesan Jay | Dir | P - Purchase | $1.78 | +589 | 589 | New | +$1,048 |
| DI | 2026-06-22 19:15 | 2026-06-17 | SER | Venkatesan Jay | Dir | C - Cnv Deriv | $2.25 | +224.2K | 231.7K | +2,968% | +$504.3K |
| D | 2026-06-22 19:15 | 2026-06-17 | SER | Venkatesan Jay | Dir | A - Grant | $0.00 | +15.2K | 15.2K | New | $0 |
| DI | 2026-06-22 19:15 | 2026-06-17 | SER | Venkatesan Jay | Dir | C - Cnv Deriv | $2.25 | -96.5K | 0 | -100% | -$217.2K |
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 | 2026-05-22 | P | A | 589 | $1.78 | 589 | D | — | — | (F1) The share ownership amount has been adjusted to correct an administrative error in a prior Form 4 filed by the Reporting Person, which inadvertently reported 7,553 shares as direct ownership, rather than indirect ownership. |
| 2 | Common | Common Stock | 2026-06-17 | C | A | 224,152 | $2.25 | 231,705 | I The Jay Venkatesan Legacy Trust | — | — | (F2) Shares reflect the mandatory conversion at an adjusted Conversion Price of $2.25 of the Company's Series A Convertible Prefered Stock ("Series A Preferred") issued in connection with the April 2025 Private Placement. The Reporting Person was originally issued 96,525 shares of Series A Preferred that were converted into 222,222 shares of Common Stock and 1,930 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, thereby triggering the automatic conversion of the Series A Preferred into common stock. (F1) The share ownership amount has been adjusted to correct an administrative error in a prior Form 4 filed by the Reporting Person, which inadvertently reported 7,553 shares as direct ownership, rather than indirect ownership. |
| 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 | (F3) 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 | Series A Convertible Preferred Stock | 2026-06-17 | C | D | 96,525 | $2.25 | 0 | I The Jay Venkatesan Legacy Trust | $5.18 · 2025-04-08 to — | 222,222 Common Stock, $0.0001 par value | (F4) The Series A Convertible Preferred Stock is perpetual and therefore has no expiration date. |