SEC Form 4 · accession 0001413350-26-000004
Serina Therapeutics, Inc. · SER
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jay Venkatesan
Director
Period of report
May 22, 2026
Accepted (ET)
Jun 22, 2026 · 7:15 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0001708599
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 22, 2026 | P | 589 | $1.78 | A | 589 | D | |
| Common StockF2,F1 | Jun 17, 2026 | C | 224,152 | $2.25 | A | 231,705 | I | The Jay Venkatesan Legacy Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F3 | $1.98 | Jun 17, 2026 | A | 15,250 | A | — | Jun 17, 2036 | Common Stock | 15,250 | 15,250 | D |
| Series A Convertible Preferred StockF4 | $5.18 | Jun 17, 2026 | C | 96,525 | D | Apr 8, 2025 | — | Common Stock, $0.0001 par value | 222,222 | 0 | I |
Explanation of responses
- F1The 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.
- F2Shares 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.
- F3The 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.
- F4The Series A Convertible Preferred Stock is perpetual and therefore has no expiration date.