Serina Therapeutics (SER) Form 3 AgeX Therapeutics / HAL STERNBERG 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^*

STERNBERG HAL

(Last) (First) (Middle)

1010 ATLANTIC AVENUE, SUITE 102

(Street)

ALAMEDA CA 94501

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
11/27/2018

3. Issuer Name and Ticker or Trading Symbol
AgeX Therapeutics, Inc. [ AGE ]

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

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Vice President-Research

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
Option to Purchase Common Stock	(1)	11/14/2027	Common Stock	35,000	2	D
Option to Purchase Common Stock	(2)	03/14/2028	Common Stock	15,000	2	D

Explanation of Responses:

1. One quarter became exercisable on November 15, 2018 and the remaining shall vest in 36 equal monthly installments thereafter.

2. One quarter shall vest on February 1, 2019 and the remaining shall vest in 36 equal monthly installments thereafter.

Remarks:

	/s/Hal Sternberg	11/27/2018
	** 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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