Serina Therapeutics, Inc.
For the period ended Mar 31, 2025. Filed May 8, 2025.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Mar 31, 2025 · Filed May 8, 2025
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Item 5. Other Information
Certain Trading Arrangements
During the three months ended March 31, 2025, none of the directors or officers of the Company, adopted orterminated a “Rule 10b5-1 trading arrangement” or “non-Rule 10b5-1 trading arrangement,” as each term is defined in Item 408(a) of SEC Regulation S-K, except as described in the table below:
| Name & Title | Date Adopted | Character of Trading Arrangement (1) | Duration (2) |
|---|---|---|---|
| Steve Ledger, Chief Executive Officer and Director | 3/28/2025 | Rule 10b5-1 Trading Arrangement | 6/30/2026 |
| Gregory Curhan, Chief Financial Officer | 3/28/2025 | Rule 10b5-1 Trading Arrangement | 6/30/2026 |
| Randall Moreadith, Chief Development Officer | 3/28/2025 | Rule 10b5-1 Trading Arrangement | 6/27/2026 |
(1) Except as indicated by footnote, each trading arrangement marked as a “Rule 10b5-1 Trading Arrangement” is intended to satisfy the affirmative defense of Rule 10b5-1(c), as amended (the “Rule”).
(2) Except as indicated by footnote, each trading arrangement permitted or permits transactions through and including the earlier to occur of the completion of all purchases or sales or the date listed in the table. Each trading arrangement marked as a “Rule 10b5-1 Trading Arrangement” only permitted or only permits transactions upon expiration of the applicable mandatory cooling-off period under the Rule.
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