Serina Therapeutics (SER) Form 3 AgeX Therapeutics / STEVEN MINTZ 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^*

MINTZ STEVEN

(Last) (First) (Middle)

C/O AGEX THERAPEUTICS, INC.

1101 MARINA VILLAGE PARKWAY, SUITE 201

(Street)

ALAMEDA CA 94501

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
01/08/2024

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)
Common Stock, $0.0001 par value	116,324	D(1)

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	(2)	01/07/2034	Common Stock	63,756	0.375	D

Explanation of Responses:

1. Shares held in joint accounts with adult children.

2. Stock options will vest in quarterly installments based upon Mr. Mintz's continued service as a director, with options to purchase 15,006 shares scheduled to vest on March 31,2024 and options to purchase 16,250 shares scheduled to vest on each of the following dates: June 30, 2024, September 30, 2024, and December 31, 2024.

	/s/ Steven Mintz	01/18/2024
	** 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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