Randall Moreadith Form 3 Serina Therapeutics / Randall Moreadith ownership change

SEC Form 3

FORM 3

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

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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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1. Name and Address of Reporting Person^*

Moreadith Randall

(Last) (First) (Middle)

601 GENOME WAY, SUITE 2001

(Street)

HUNTSVILLE AL 35806

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
03/26/2024

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

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

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

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

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

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

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option (right to buy)(1)	(2)	05/06/2031	Common Stock	521,186	0.06	D
Stock Option (right to buy)(1)	(2)	07/29/2031	Common Stock	93,775	0.06	D

Explanation of Responses:

1. Shares of capital stock of the corporation then known as Serina Therapeutics, Inc. ("Serina AL") were converted into shares of the Issuer pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of August 29, 2023, by and among the Issuer, Canaria Transaction Corporation and Serina AL (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of capital stock was exchanged for 0.97682654 shares of the Issuer's common stock, giving effect to a reverse split of the Issuer's common stock of 1-for-35.17.

2. The stock options are fully vested.

	/s/ Randall Moreadith	04/03/2024
	** 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 5 (b)(v).
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