Randall Moreadith Files SC 13D for Serina Therapeutics

TL;DR

**Moreadith files 13D on Serina Therapeutics (SRNA) - ownership change.**

AI Summary

Randall Moreadith filed an SC 13D on April 3, 2024, regarding Serina Therapeutics, Inc. (formerly AgeX Therapeutics, Inc.). The filing indicates a change in beneficial ownership as of March 26, 2024. Moreadith's address is listed as Two Corporate Drive, South San Francisco, CA 94080.

Why It Matters

This filing signals a potential shift in control or significant stakeholding in Serina Therapeutics, Inc., which could impact the company's strategic direction and stock performance.

Risk Assessment

Risk Level: medium — Schedule 13D filings often indicate significant changes in beneficial ownership, which can lead to increased volatility and strategic shifts for the company.

Key Players & Entities

• Randall Moreadith (person) — Filing person
• Serina Therapeutics, Inc. (company) — Subject company
• AgeX Therapeutics, Inc. (company) — Former company name
• 0001708599 (company) — Central Index Key for Serina Therapeutics
• 0001301120 (person) — Central Index Key for Randall Moreadith

FAQ

Key Financial Figures

• $0.0001 — me of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securiti

Filing Documents

• formsc13-d.htm (SC 13D) — 66KB
• 0001493152-24-013076.txt ( ) — 67KB

From the Filing

SC 13D 1 formsc13-d.htm UNITED SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.)* Serina Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 81751A108 (CUSIP Number) Randall Moreadith c/o Serina Therapeutics, Inc. 601 Genome Way, Suite 2001 Huntsville, Alabama 35806 (256) 327-9630 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) March 26, 2024 (Date of Event Which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-l(e), 240.13d-l(f) or 240.13d-1(g), check the following box. *The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“ Act ”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 81751A108 SCHEDULE 13D Page 2 of 5 Pages 1 NAMES OF REPORTING PERSON Randall Moreadith 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (b) 3 SEC USE ONLY 4 SOURCE OF FUNDS N/A 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) 6 CITIZENSHIP OR PLACE OF ORGANIZATION United NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER 614,961 (1) 8 SHARED VOTING POWER 0 9 SOLE DISPOSITIVE POWER 614,961 (1) 10 SHARED DISPOSITIVE POWER 0 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 614,961 (1) 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.8% (2) 14 TYPE OF REPORTING PERSON IN (1) Consists of 614,961 shares of Common Stock subject to options that are exercisable within 60 days of March 26, 2024. (2) Based upon 8,413,889 shares of Common Stock issued and outstanding as of March 26, 2024, as reported in the Issuer’s Current Report on Form 8-K filed on April 1, 2024. The amount of shares of Common Stock that Mr. Moreadith has the right to acquire within 60 days of March 26, 2024 are deemed to be outstanding for purposes of calculating his beneficial ownership percentage. CUSIP No. 81751A108 SCHEDULE 13D Page 3 of 5 Pages Item 1. Security and Issuer. This Stock ”) of Serina Therapeutics, Inc., a Delaware corporation (the “ Issuer ” or “Company”). The principal executive offices of the Issuer are located at 601 Genome Way, Suite 2001, Huntsville, Alabama 35806. Item 2. Identity and Background. (a) This Schedule 13D is being filed on behalf of Randall Moreadith (the “ Reporting Person ”). (b) The (c) The Reporting Person is the Chief Scientific Officer of the Issuer. (d)-(e) During the last five years, the Reporting Person has not been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors), or a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. (f) The Reporting Person is a citizen of the United States. Item 3. Source and Amount of Funds or Other Consideration. The Reporting Person beneficially owns 614,961 shares of Common Stock that may be issued on exercise of stock options owned by the Reporting Person that were assumed by the Issuer in connection with its acquisition of Serina Therapeutics (AL), Inc., an Alabama corporation. Item 4. Purpose of Transaction. The Reporting Person has no present plan or proposal that would relate to or result in any of the matters set forth in subparagraphs (a)-(j) of Item 4 of Schedule 13D. The Reporting Person intends to review his investment in the Issuer on a continuous basis. Depending on various factors including, without limitation, the Issuer’s financial position and strategic direction, actions taken by its Board of Directors, price levels of the shares of Common Stock, other investment opportunities available to the Reporting Person, conditions in the securities market and general economic and industry condition

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View this SC 13D filing on SEC EDGAR