SEC Form 4 · accession 0001209191-19-019316
Serina Therapeutics, Inc. · SER
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Hal Sternberg
Officer — Vice President-Research
Period of report
Mar 11, 2019
Accepted (ET)
Mar 13, 2019 · 9:35 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001708599
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.0001 par valueF1 | holding | — | — | — | 133 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to Purchase Common StockF2 | $4.28 | Mar 11, 2019 | A | 15,000 | A | — | Mar 10, 2029 | Common Stock | 15,000 | 15,000 | D |
Explanation of responses
- F1Shares acquired in a distribution exempt from Section 16 of the Securities Exchange Act of 1934 pursuant to Rule 16a-9.
- F2One quarter shall vest on March 11, 2020 and the remaining shall vest monthly over 36 months, based upon continuous service.