Serina Therapeutics (SER) Form 3 AgeX Therapeutics / MICHAEL H MAY 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^*

MAY MICHAEL H

(Last) (First) (Middle)

C/O AGEX THERAPEUTICS, INC.

965 ATLANTIC AVENUE, SUITE 101

(Street)

ALAMEDA CA 94501

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
08/05/2019

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

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

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

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)	08/04/2029	Common Stock	26,534	2.4	D

Explanation of Responses:

1. Will become exercisable in two equal fiscal quarterly installments from the date of grant on August 5, 2019, provided that Dr. May remains a director on the last day of the applicable fiscal quarter, except that with respect to the fiscal quarter in which an annual meeting of stockholders occurs, if he serves until the date of the annual meeting of stockholders and is not re-elected at the annual meeting for any reason, a prorated portion of that quarterly installment of the options will vest based on the number of days in the fiscal quarter and the number of days elapsed from the first day of the fiscal quarter to the date of that annual meeting of stockholders.

Remarks:

	/s/Michael H. May	08/20/2019
	** 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).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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