SEC FORM 4

SEC FORM 4SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Bailey Gregory

(Last)

(First)

(Middle)

601 GENOME WAY, SUITE 2001

(Street)

HUNTSVILLE

ALABAMA

35806

(City)

(State)

(Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Serina Therapeutics, Inc. [ SER ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
	Officer (give title below)	Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/17/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	06/17/2026		C		1,770,805⁽¹⁾	A	$2.25	1,897,445⁽²⁾	D
Common Stock	06/17/2026		C		6,666,667⁽³⁾	A	$2.2499	8,564,382	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Stock Option (right to buy)	$1.98	06/17/2026		A		15,250		⁽⁴⁾	06/17/2036	Common Stock	15,250	$0	15,250	D
Redeemable Warrants	$5	06/17/2026		A		3,333,333⁽⁵⁾		09/17/2026	03/17/2030	Common Stock	3,333,333	$0	3,333,333	D
Series A Convertible Preferred Stock	$5.18	06/17/2026		C			762,548	04/08/2025	⁽⁶⁾	Common Stock, $0.0001 par value	1,755,555	$2.25	0	D

Explanation of Responses:

1. 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.

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

3. 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.

4. 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.

5. 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.

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

Remarks:

	/s/ Steven Ledger, Attorney in Fact	06/22/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Director Bailey Gregory converted options into 8,437,472 shares, increasing direct ownership by 6,663% to 8,564,382 units (SEC Form 4)