SER · Serina Therapeutics, Inc. · Insider Trading

The stock options vest in substantially equal yearly installments beginning on the first anniversary of the grant date such that the stock options shall be fully vested on the third anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer through the applicable vesting dates.

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.

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.

The share ownership amount has been updated to reflect the correct number of shares beneficially owned by the Reporting Person.

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.

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.

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.

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.

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.

The Series A Convertible Preferred Stock is perpetual and therefore has no expiration date.

The Series A Convertible Preferred Stock is perpetual and therefore has no expiration date.

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.

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.

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.

The price reflects the weighted average purchase price of multiple transactions ranging from a low purchase price of $1.76 per share to a high purchase price of $1.77 per share. Upon the written request of the SEC, the Issuer or a security holder of the Issuer, the reporting person agrees to provide the number of shares sold at each price.

The price reflects the weighted average purchase price of multiple transactions ranging from a low purchase price of $1.745 per share to a high purchase price of $1.75 per share. Upon the written request of the SEC, the Issuer or a security holder of the Issuer, the reporting person agrees to provide the number of shares sold at each price.

The price reflects the weighted average purchase price of multiple transactions ranging from a low purchase price of $1.87 per share to a high purchase price of $1.95 per share. Upon the written request of the SEC, the Issuer or a security holder of the Issuer, the reporting person agrees to provide the number of shares sold at each price.

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.

The price reflects the weighted average purchase price of multiple transactions ranging from a low purchase price of $1.90 per share to a high purchase price of $1.95 per share. Upon the written request of the SEC, the Issuer or a security holder of the Issuer, the reporting person agrees to provide the number of shares sold at each price.

Unless otherwise terminated as provided in the optionee's option agreement, 12/48ths of the shares subject to the option shall vest twelve months after the Vesting Commencement Date, and 1/48th of the shares subject to the option shall vest on the same calendar day of each subsequent month thereafter until the shares subject to the option are fully vested.

Unless otherwise terminated as provided in the optionee's option agreement, 12/48ths of the shares subject to the option shall vest twelve months after the Vesting Commencement Date, and 1/48th of the shares subject to the option shall vest on the same calendar day of each subsequent month thereafter until the shares subject to the option are fully vested.

Unless otherwise terminated as provided in the optionee's option agreement, 12/48ths of the shares subject to the option shall vest twelve months after the Vesting Commencement Date, and 1/48th of the shares subject to the option shall vest on the same calendar day of each subsequent month thereafter until the shares subject to the option are fully vested.

The price reflects the weighted average purchase price of multiple transactions ranging from a low purchase price of $1.76 per share to a high purchase price of $1.79 per share. Upon the written request of the SEC, the Issuer or a security holder of the Issuer, the reporting person agrees to provide the number of shares sold at each price.

Unless otherwise terminated as provided in the optionee's option agreement, 12/48ths of the shares subject to the option shall vest twelve months after the Vesting Commencement Date, and 1/48th of the shares subject to the option shall vest on the same calendar day of each subsequent month thereafter until the shares subject to the option are fully vested.

The price reflects the weighted average purchase price of multiple transactions ranging from a low purchase price of $1.59 per share to a high purchase price of $1.73 per share. Upon the written request of the SEC, the Issuer or a security holder of the Issuer, the reporting person agrees to provide the number of shares sold at each price.

These shares of common stock were issued for payment of accrued dividends on the reporting individuals A Convertible Preferred Stock issued on April 8, 2025.

These shares of common stock were issued for payment of accrued dividends on the reporting individuals Series A Convertible Preferred Stock issued on April 8, 2025.

1. The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.68 to $3.03. The reporting person undertakes to provide to Serina Therapeutics, Inc., any security holder of Serina Therapeutis, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

The stock options are fully vested.

The stock options are fully vested.

Unless otherwise terminated as provided in the optionee's option agreement, 12/48ths of the shares subject to the option shall vest twelve months after the Vesting Commencement Date, and 1/48th of the shares subject to the option shall vest on the same calendar day of each subsequent month thereafter until the shares subject to the option are fully vested.

Unless otherwise terminated as provided in the optionee's option agreement, 12/48ths of the shares subject to the option shall vest twelve months after the Vesting Commencement Date, and 1/48th of the shares subject to the option shall vest on the same calendar day of each subsequent month thereafter until the shares subject to the option are fully vested.

Unless otherwise terminated as provided in the optionee's option agreement, 12/48ths of the shares subject to the option shall vest twelve months after the Vesting Commencement Date, and 1/48th of the shares subject to the option shall vest on the same calendar day of each subsequent month thereafter until the shares subject to the option are fully vested.

Unless otherwise terminated as provided in the optionee's option agreement, 12/48ths of the shares subject to the option shall vest twelve months after the Vesting Commencement Date, and 1/48th of the shares subject to the option shall vest on the same calendar day of each subsequent month thereafter until the shares subject to the option are fully vested.

The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.05 to $3.00. The reporting person undertakes to provide to Serina Therapeutics, Inc., any security holder of Serina Therapeutis, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

The stock options are fully vested.

The stock options are fully vested.

The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.59 to $3.55. The reporting person undertakes to provide to Serina Therapeutics, Inc., any security holder of Serina Therapeutis, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

The stock options are fully vested.

The stock options are fully vested.

The stock options are fully vested.