Serina Therapeutics, Inc.
For the period ended Jun 30, 2026. Filed Aug 13, 2026.
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Jun 30, 2026 · Filed Aug 13, 2026
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Item 5. Other Information
Certain Trading Arrangements
During the six months ended June 30, 2026, 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) |
|---|---|---|---|
| Randall Moreadith, Chief Development Officer | 6/22/2026 | Rule 10b5-1 Trading Arrangement | 9/27/2027 |
(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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