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NYSE · USD

SER

Serina Therapeutics, Inc.

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Tapewire entity
9581
SEC CIK
0001708599
Parsed reports
177

Last 12 months

Inside the activity.

7 purchase rows · 25 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202506
Dec 202509
Jan 202607
Feb 202601
Mar 202602
Apr 202600
May 202640
Jun 202620
Jul 202610
Aug 202600
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 20, 2024 Filed May 22, 2024 20:15 UTC PurchaseCommon Stock 100 $9.00 $900.00
Disclosure

SEC source: 0001493152-24-021013 · ownership.xml · nonDerivative · entry 1

Bailey Gregory · CIK 0001329505 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100

Read SEC document
May 20, 2024 Filed May 23, 2024 17:07 UTC
MINTZ STEVENDirector
PurchaseCommon Stock 1,240 $9.42 $11,683.28
Disclosure

SEC source: 0001493152-24-021176 · ownership.xml · nonDerivative · entry 6

MINTZ STEVEN · CIK 0002008741 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Adult Child 2

Disclosed balance after: 1,240

F2 · ownership.nature: The Reporting Person may be deemed to share voting, investment and dispositive power with respect to these securities. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.

Read SEC document
May 20, 2024 Filed May 23, 2024 17:07 UTC
MINTZ STEVENDirector
PurchaseCommon Stock 1,240 $9.44 $11,701.88
Disclosure

SEC source: 0001493152-24-021176 · ownership.xml · nonDerivative · entry 5

MINTZ STEVEN · CIK 0002008741 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Adult Child 1

Disclosed balance after: 1,240

F1 · ownership.nature: The Reporting Person may be deemed to share voting, investment and dispositive power with respect to these securities. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.

Read SEC document
May 20, 2024 Filed May 23, 2024 17:07 UTC
MINTZ STEVENDirector
PurchaseCommon Stock 195 $9.48 $1,848.02
Disclosure

SEC source: 0001493152-24-021176 · ownership.xml · nonDerivative · entry 2

MINTZ STEVEN · CIK 0002008741 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 749

Read SEC document
May 17, 2024 Filed May 23, 2024 17:07 UTC
MINTZ STEVENDirector
PurchaseCommon Stock 554 $8.50 $4,709.00
Disclosure

SEC source: 0001493152-24-021176 · ownership.xml · nonDerivative · entry 1

MINTZ STEVEN · CIK 0002008741 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 554

Read SEC document
April 15, 2024 Filed Apr 17, 2024 22:01 UTC
GILL SIMBADirector
GrantStock Option (right to buy) · Derivative 295,300 $0.00 Strike: $11.01 $0.00
Disclosure

SEC source: 0001493152-24-015067 · ownership.xml · derivative · entry 1

GILL SIMBA · CIK 0001180763 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 295,300

Underlying: Common Stock · 295,300 shares

Expires 2034-04-15

F1 · derivative.exercise_date: The stock options vest as to 25% of the underlying shares on October 15, 2024 and thereafter in substantially equal monthly installments such that the stock options shall be fully vested on the fourth anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer through the applicable vesting dates.

Read SEC document
April 01, 2024 Filed Apr 4, 2024 00:58 UTC GrantStock Option (right to buy) · Derivative 40,000 $0.00 Strike: $11.83 $0.00
Disclosure

SEC source: 0001493152-24-013085 · ownership.xml · derivative · entry 1

Marshall Richard Peter · CIK 0002016188 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2034-04-01

F1 · derivative.exercise_date: The stock options vest in three equal installments on April 1, 2025, April 1, 2026 and April 1, 2027, subject to the Reporting Person's continued service to the Issuer through the applicable vesting dates.

Read SEC document
April 01, 2024 Filed Apr 3, 2024 20:55 UTC
Gross RemyDirector
GrantStock Option (right to buy) · Derivative 40,000 $0.00 Strike: $11.83 $0.00
Disclosure

SEC source: 0001493152-24-013081 · ownership.xml · derivative · entry 1

Gross Remy · CIK 0002015973 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 157,219

Underlying: Common Stock · 40,000 shares

Expires 2034-04-01

F1 · derivative.exercise_date: The stock options vest in three equal installments on April 1, 2025, April 1, 2026 and April 1, 2027, subject to the Reporting Person's continued service to the Issuer through the applicable vesting dates.

Read SEC document
April 01, 2024 Filed Apr 3, 2024 20:59 UTC
MINTZ STEVENDirector
GrantStock Option (right to buy) · Derivative 40,000 $0.00 Strike: $11.83 $0.00
Disclosure

SEC source: 0001493152-24-013087 · ownership.xml · derivative · entry 1

MINTZ STEVEN · CIK 0002008741 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,812

Underlying: Common Stock · 40,000 shares

Expires 2034-04-01

F1 · derivative.exercise_date: The stock options vest in three equal installments on April 1, 2025, April 1, 2026 and April 1, 2027, subject to the Reporting Person's continued service to the Issuer through the applicable vesting dates.

F2 · balance_after: Number of derivative securities determined after giving effect to a reverse split of the Issuer's common stock of 1-for-35.17.

Read SEC document
April 01, 2024 Filed Apr 4, 2024 00:56 UTC GrantStock Option (right to buy) · Derivative 40,000 $0.00 Strike: $11.83 $0.00
Disclosure

SEC source: 0001493152-24-013083 · ownership.xml · derivative · entry 1

HARRIS J MILTON · CIK 0001236923 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110,332

Underlying: Common Stock · 40,000 shares

Expires 2034-04-01

F1 · derivative.exercise_date: The stock options vest in three equal installments on April 1, 2025, April 1, 2026 and April 1, 2027, subject to the Reporting Person's continued service to the Issuer through the applicable vesting dates.

Read SEC document
April 01, 2024 Filed Apr 4, 2024 21:18 UTC GrantStock Option (right to buy) · Derivative 40,000 $0.00 Strike: $11.83 $0.00
Disclosure

SEC source: 0001493152-24-013225 · ownership.xml · derivative · entry 1

Bailey Gregory · CIK 0001329505 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,691

Underlying: Common Stock · 40,000 shares

Expires 2034-04-01

F1 · derivative.exercise_date: The stock options vest in three equal installments on April 1, 2025, April 1, 2026 and April 1, 2027, subject to the Reporting Person's continued service to the Issuer through the applicable vesting dates.

F2 · balance_after: Number of derivative securities determined after giving effect to a reverse split of the Issuer's common stock of 1-for-35.17.

Read SEC document
April 25, 2023 Filed May 18, 2023 20:00 UTC
Juvenescence LtdDirector · 10% owner
GrantWarrant to Purchase Common Stock · Derivative 756,429 $0.00 Strike: $0.66 $0.00
Disclosure

SEC source: 0001104659-23-062241 · tm2312573-1_4seq1.xml · derivative · entry 1

Juvenescence Ltd · CIK 0001724307 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 756,429

Underlying: Common Stock · 756,429 shares

Expires 2026-04-23

F1 · security: Warrants issued in connection with the draw of loan funds under an Amended and Restated Secured Convertible Promissory Note between the issuer and the reporting person.

F2 · derivative.exercise_date: The warrants are exercisable for shares of the issuer's common stock upon issuance.

Read SEC document
March 14, 2023 Filed Mar 22, 2023 20:20 UTC
Juvenescence LtdDirector · 10% owner
GiftCommon Stock 16,447,500 $0.00 $0.00
Disclosure

SEC source: 0001104659-23-035606 · tm2310075-3_4seq1.xml · nonDerivative · entry 1

Juvenescence Ltd · CIK 0001724307 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · kind: This transaction involved a transfer of securities to the reporting person's wholly owned subsidiary, Juvenescence US Corp.

Read SEC document
March 11, 2023 Filed Mar 15, 2023 01:32 UTC
WEST MICHAEL DChief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 3,125 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-23-018774 · doc4.xml · derivative · entry 3

WEST MICHAEL D · CIK 0001202529 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,125 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Restricted Stock Units vested on March 11, 2023.

F3 · derivative.expiration_date: Restricted Stock Units vested on March 11, 2023.

Read SEC document
March 11, 2023 Filed Mar 15, 2023 01:32 UTC
WEST MICHAEL DChief Executive Officer
Tax withholdingCommon Stock, $0.0001 par value 1,060 $0.59 $625.40
Disclosure

SEC source: 0001209191-23-018774 · doc4.xml · nonDerivative · entry 2

WEST MICHAEL D · CIK 0001202529 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,982

F2 · kind: Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 3,125 Restricted Stock Units, the grant of which was previously reported on a Form 4.

F1 · balance_after: Excludes shares owned by former spouse of which Dr. West disclaims beneficial ownership.

Read SEC document
March 11, 2023 Filed Mar 15, 2023 01:32 UTC
WEST MICHAEL DChief Executive Officer
Exercise / conversionCommon Stock, $0.0001 par value 3,125 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-018774 · doc4.xml · nonDerivative · entry 1

WEST MICHAEL D · CIK 0001202529 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,042

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Excludes shares owned by former spouse of which Dr. West disclaims beneficial ownership.

Read SEC document
February 16, 2023 Filed Feb 17, 2023 12:01 UTC
Juvenescence LtdDirector · 10% owner
GrantWarrant to Purchase Common Stock · Derivative 801,924 $0.00 Strike: $0.62 $0.00
Disclosure

SEC source: 0001104659-23-023041 · tm234525-2_4seq1.xml · derivative · entry 1

Juvenescence Ltd · CIK 0001724307 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 801,924

Underlying: Common Stock · 801,924 shares

Expires 2026-02-15

F1 · security: Warrants issued in connection with the draw of loan funds under an Amended and Restated Secured Convertible Promissory Note between the issuer and the reporting person.

F2 · derivative.exercise_date: The warrants are exercisable for shares of the issuer's common stock upon issuance.

Read SEC document
February 07, 2023 Filed Feb 8, 2023 21:00 UTC
Juvenescence LtdDirector · 10% owner
GrantWarrant to Purchase Common Stock · Derivative 340,136 $0.00 Strike: $0.74 $0.00
Disclosure

SEC source: 0001104659-23-014515 · tm234525-1_4seq1.xml · derivative · entry 1

Juvenescence Ltd · CIK 0001724307 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 340,136

Underlying: Common Stock · 340,136 shares

Expires 2026-01-25

F1 · security: Warrants issued in connection with the draw of loan funds under a Secured Convertible Promissory Note between the issuer and the reporting person.

F2 · derivative.exercise_date: The warrants are exercisable for shares of the issuer's common stock upon issuance.

Read SEC document
December 19, 2022 Filed Dec 19, 2022 21:55 UTC
Juvenescence LtdDirector · 10% owner
GrantWarrant to Purchase Common Stock · Derivative 847,457 $0.00 Strike: $0.59 $0.00
Disclosure

SEC source: 0001104659-22-128296 · tm2232622-2_4seq1.xml · derivative · entry 1

Juvenescence Ltd · CIK 0001724307 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 847,457

Underlying: Common Stock · 847,457 shares

Expires 2025-12-14

F1 · security: Warrants issued in connection with the draw of loan funds under a Secured Convertible Promissory Note between the issuer and the reporting person.

F2 · derivative.exercise_date: The warrants are exercisable for shares of the issuer's common stock upon issuance.

Read SEC document
December 11, 2022 Filed Dec 14, 2022 02:22 UTC
WEST MICHAEL DDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 3,125 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-22-061094 · doc4.xml · derivative · entry 3

WEST MICHAEL D · CIK 0001202529 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,125

Underlying: Common Stock · 3,125 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Restricted Stock Units vested on December 11, 2022.

F3 · derivative.expiration_date: Restricted Stock Units vested on December 11, 2022.

Read SEC document
December 11, 2022 Filed Dec 14, 2022 02:22 UTC
WEST MICHAEL DDirector · Chief Executive Officer
Tax withholdingCommon Stock, $0.0001 par value 1,081 $0.59 $637.79
Disclosure

SEC source: 0001209191-22-061094 · doc4.xml · nonDerivative · entry 2

WEST MICHAEL D · CIK 0001202529 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,917

F2 · kind: Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 3,125 Restricted Stock Units, the grant of which was previously reported on a Form 4.

F1 · balance_after: Excludes shares owned by former spouse of which Dr. West disclaims beneficial ownership.

Read SEC document
December 11, 2022 Filed Dec 14, 2022 02:22 UTC
WEST MICHAEL DDirector · Chief Executive Officer
Exercise / conversionCommon Stock, $0.0001 par value 3,125 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-061094 · doc4.xml · nonDerivative · entry 1

WEST MICHAEL D · CIK 0001202529 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,998

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Excludes shares owned by former spouse of which Dr. West disclaims beneficial ownership.

Read SEC document
October 26, 2022 Filed Oct 27, 2022 20:05 UTC
Juvenescence LtdDirector · 10% owner
GrantWarrant to Purchase Common Stock · Derivative 362,318 $0.00 Strike: $0.69 $0.00
Disclosure

SEC source: 0001104659-22-111999 · tm2229063-1_4seq1.xml · derivative · entry 1

Juvenescence Ltd · CIK 0001724307 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 362,318

Underlying: Common Stock · 362,318 shares

Expires 2025-10-21

F1 · security: Warrants issued in connection with the draw of loan funds under a Secured Convertible Promissory Note between the issuer and the reporting person.

F2 · derivative.exercise_date: The warrants are exercisable for shares of the issuer's common stock upon issuance.

Read SEC document
September 11, 2022 Filed Sep 13, 2022 23:53 UTC
WEST MICHAEL DDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 3,125 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-22-049787 · doc4.xml · derivative · entry 3

WEST MICHAEL D · CIK 0001202529 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,250

Underlying: Common Stock · 3,125 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Restricted Stock Units vested on September 11, 2022.

F2 · derivative.expiration_date: Restricted Stock Units vested on September 11, 2022.

Read SEC document
September 11, 2022 Filed Sep 13, 2022 23:53 UTC
WEST MICHAEL DDirector · Chief Executive Officer
Tax withholdingCommon Stock, $0.0001 par value 1,081 $0.56 $607.85
Disclosure

SEC source: 0001209191-22-049787 · doc4.xml · nonDerivative · entry 2

WEST MICHAEL D · CIK 0001202529 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,503

F1 · kind: Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 3,125 Restricted Stock Units, the grant of which was previously reported on a Form 4.

Read SEC document
September 11, 2022 Filed Sep 13, 2022 23:53 UTC
WEST MICHAEL DDirector · Chief Executive Officer
Exercise / conversionCommon Stock, $0.0001 par value 3,125 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-049787 · doc4.xml · nonDerivative · entry 1

WEST MICHAEL D · CIK 0001202529 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,584

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 24, 2022 Filed Aug 24, 2022 23:19 UTC
Juvenescence LtdDirector · 10% owner
GrantWarrant to Purchase Common Stock · Derivative 746,380 $0.00 Strike: $0.67 $0.00
Disclosure

SEC source: 0001104659-22-094116 · tm2224221-1_4seq1.xml · derivative · entry 1

Juvenescence Ltd · CIK 0001724307 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 746,380

Underlying: Common Stock · 746,380 shares

Expires 2025-08-15

F1 · security: Warrants issued in connection with the draw of loan funds under a Secured Convertible Promissory Note between the issuer and the reporting person.

F2 · derivative.exercise_date: The warrants are exercisable for shares of the issuer's common stock upon issuance.

Read SEC document
July 11, 2022 Filed Aug 24, 2022 23:17 UTC
Juvenescence LtdDirector · 10% owner
GrantWarrant to Purchase Common Stock · Derivative 703,234 $0.00 Strike: $0.71 $0.00
Disclosure

SEC source: 0001104659-22-094115 · tm2224221-2_4seq1.xml · derivative · entry 1

Juvenescence Ltd · CIK 0001724307 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 703,234

Underlying: Common Stock · 703,234 shares

Expires 2025-06-06

F1 · security: Warrants issued in connection with the draw of loan funds under a Secured Convertible Promissory Note between the issuer and the reporting person.

F2 · derivative.exercise_date: The warrants are exercisable for shares of the issuer's common stock upon issuance.

Read SEC document
June 11, 2022 Filed Jun 14, 2022 23:14 UTC
WEST MICHAEL DDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 3,125 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-22-036809 · doc4.xml · derivative · entry 3

WEST MICHAEL D · CIK 0001202529 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,375

Underlying: Common Stock · 3,125 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Restricted Stock Units vested on June 11, 2022.

F2 · derivative.expiration_date: Restricted Stock Units vested on June 11, 2022.

Read SEC document
June 11, 2022 Filed Jun 14, 2022 23:14 UTC
WEST MICHAEL DDirector · Chief Executive Officer
Tax withholdingCommon Stock, $0.0001 par value 1,081 $0.77 $832.59
Disclosure

SEC source: 0001209191-22-036809 · doc4.xml · nonDerivative · entry 2

WEST MICHAEL D · CIK 0001202529 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,459

F1 · kind: Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 3,125 Restricted Stock Units, the grant of which was previously reported on a Form 4.

Read SEC document
June 11, 2022 Filed Jun 14, 2022 23:14 UTC
WEST MICHAEL DDirector · Chief Executive Officer
Exercise / conversionCommon Stock, $0.0001 par value 3,125 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-036809 · doc4.xml · nonDerivative · entry 1

WEST MICHAEL D · CIK 0001202529 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,540

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
April 14, 2022 Filed Apr 15, 2022 00:47 UTC
Juvenescence LtdDirector · 10% owner
GrantWarrant to Purchase Common Stock · Derivative 568,440 $0.00 Strike: $0.88 $0.00
Disclosure

SEC source: 0001104659-22-046163 · tm2212100-1_4seq1.xml · derivative · entry 1

Juvenescence Ltd · CIK 0001724307 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 568,440

Underlying: Common Stock · 568,440 shares

Expires 2025-04-04

F1 · security: Warrants issued in connection with the draw of loan funds under a Secured Convertible Promissory Note between the issuer and the reporting person.

F2 · derivative.exercise_date: The warrants are exercisable for shares of the issuer's common stock upon issuance.

Read SEC document
March 11, 2022 Filed Mar 16, 2022 00:14 UTC
WEST MICHAEL DDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 3,125 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-22-019000 · doc4.xml · derivative · entry 3

WEST MICHAEL D · CIK 0001202529 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 3,125 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Restricted Stock Units vested on March 11, 2022.

F2 · derivative.expiration_date: Restricted Stock Units vested on March 11, 2022.

Read SEC document
March 11, 2022 Filed Mar 16, 2022 00:14 UTC
WEST MICHAEL DDirector · Chief Executive Officer
Tax withholdingCommon Stock, $0.0001 par value 1,281 $0.69 $886.84
Disclosure

SEC source: 0001209191-22-019000 · doc4.xml · nonDerivative · entry 2

WEST MICHAEL D · CIK 0001202529 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,415

F1 · kind: Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 3,125 Restricted Stock Units, the grant of which was previously reported on a Form 4.

Read SEC document
March 11, 2022 Filed Mar 16, 2022 00:14 UTC
WEST MICHAEL DDirector · Chief Executive Officer
Exercise / conversionCommon Stock, $0.0001 par value 3,125 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-019000 · doc4.xml · nonDerivative · entry 1

WEST MICHAEL D · CIK 0001202529 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,696

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 09, 2022 Filed Mar 11, 2022 21:18 UTC
Juvenescence LtdDirector · 10% owner
GrantWarrant to Purchase Common Stock · Derivative 5,230,768 $0.00 Strike: $0.78 $0.00
Disclosure

SEC source: 0001104659-22-032900 · tm226683-2_4seq1.xml · derivative · entry 1

Juvenescence Ltd · CIK 0001724307 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,230,768

Underlying: Common Stock · 5,230,768 shares

Expires 2025-02-13

F1 · security: Warrants issued in connection with the draw of loan funds under a Secured Convertible Promissory Note between the issuer and the reporting person.

F2 · derivative.exercise_date: The warrants are exercisable for shares of the issuer's common stock upon issuance.

Read SEC document
February 03, 2022 Filed Feb 14, 2022 21:42 UTC PurchaseWarrant to Purchase Common Stock · Derivative 308,565 $0.00 Strike: $0.81 $0.00
Disclosure

SEC source: 0001104659-22-022985 · tm226683-1_4seq1.xml · derivative · entry 1

Juvenescence Ltd · CIK 0001724307 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 308,565

Underlying: Common Stock · 308,565 shares

Expires 2025-01-30

F1 · security: Warrants issued in connection with the draw of loan funds under a Secured Convertible Facility Agreement between the issuer and the reporting person.

F2 · derivative.exercise_date: The warrants are exercisable for shares of the issuer's common stock upon issuance.

Read SEC document
February 02, 2022 Filed Feb 4, 2022 21:50 UTC GrantOption to Purchase Common Stock · Derivative 65,000 $0.00 Strike: $0.83 $0.00
Disclosure

SEC source: 0001209191-22-007213 · doc4.xml · derivative · entry 1

Hackett Joanne M. · CIK 0001905966 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,000

Underlying: Common Stock · 65,000 shares

Expires 2032-02-01

F1 · derivative.exercise_date: Options will vest and become exercisable in four equal quarterly installments on March 31, 2022, June 30, 2022, September 30, 2022, and December 31, 2022, provided that the grantee remains a director on the last day of the applicable calendar quarter.

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December 11, 2021 Filed Dec 15, 2021 00:17 UTC
WEST MICHAEL DDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 3,125 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-069617 · doc4.xml · derivative · entry 3

WEST MICHAEL D · CIK 0001202529 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,625

Underlying: Common Stock · 3,125 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Restricted Stock Units vested on December 11, 2021.

F2 · derivative.expiration_date: Restricted Stock Units vested on December 11, 2021.

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December 11, 2021 Filed Dec 15, 2021 00:17 UTC
WEST MICHAEL DDirector · Chief Executive Officer
Tax withholdingCommon Stock, $0.0001 par value 1,081 $0.64 $686.44
Disclosure

SEC source: 0001209191-21-069617 · doc4.xml · nonDerivative · entry 2

WEST MICHAEL D · CIK 0001202529 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,571

F1 · kind: Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 3,125 Restricted Stock Units, the grant of which was previously reported on a Form 4.

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December 11, 2021 Filed Dec 15, 2021 00:17 UTC
WEST MICHAEL DDirector · Chief Executive Officer
Exercise / conversionCommon Stock, $0.0001 par value 3,125 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-069617 · doc4.xml · nonDerivative · entry 1

WEST MICHAEL D · CIK 0001202529 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,652

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
September 11, 2021 Filed Sep 22, 2021 01:14 UTC
WEST MICHAEL DDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 3,125 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-057189 · doc4.xml · derivative · entry 3

WEST MICHAEL D · CIK 0001202529 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,750

Underlying: Common Stock · 3,125 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Restricted Stock Units vested on September 11, 2021.

F2 · derivative.expiration_date: Restricted Stock Units vested on September 11, 2021.

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September 11, 2021 Filed Sep 22, 2021 01:14 UTC
WEST MICHAEL DDirector · Chief Executive Officer
Tax withholdingCommon Stock, $0.0001 par value 1,081 $1.00 $1,078.30
Disclosure

SEC source: 0001209191-21-057189 · doc4.xml · nonDerivative · entry 2

WEST MICHAEL D · CIK 0001202529 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,527

F1 · kind: Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 3,125 Restricted Stock Units, the grant of which was previously reported on a Form 4.

Read SEC document
September 11, 2021 Filed Sep 22, 2021 01:14 UTC
WEST MICHAEL DDirector · Chief Executive Officer
Exercise / conversionCommon Stock, $0.0001 par value 3,125 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-057189 · doc4.xml · nonDerivative · entry 1

WEST MICHAEL D · CIK 0001202529 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,608

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 21, 2021 Filed Jun 24, 2021 01:52 UTC GrantOption to Purchase Common Stock · Derivative 65,000 $0.00 Strike: $1.48 $0.00
Disclosure

SEC source: 0001209191-21-042898 · doc4.xml · derivative · entry 1

Bailey Gregory · CIK 0001329505 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,000

Underlying: Common Stock · 65,000 shares

Expires 2031-06-20

F1 · derivative.exercise_date: Options will vest and become exercisable in four equal quarterly installments on June 30, 2021, September 30, 2021, December 31, 2021, and March 31, 2022, provided that the grantee remains a director on the last day of the applicable calendar quarter.

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June 21, 2021 Filed Jun 24, 2021 01:50 UTC GrantOption to Purchase Common Stock · Derivative 65,000 $0.00 Strike: $1.48 $0.00
Disclosure

SEC source: 0001209191-21-042896 · doc4.xml · derivative · entry 1

Jenkins Annalisa · CIK 0001639481 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,000

Underlying: Common Stock · 65,000 shares

Expires 2031-06-20

F1 · derivative.exercise_date: Options will vest and become exercisable in four equal quarterly installments on June 30, 2021, September 30, 2021, December 31, 2021, and March 31, 2022, provided that the grantee remains a director on the last day of the applicable calendar quarter.

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June 21, 2021 Filed Jun 24, 2021 01:46 UTC GrantOption to Purchase Common Stock · Derivative 35,000 $0.00 Strike: $1.48 $0.00
Disclosure

SEC source: 0001209191-21-042894 · doc4.xml · derivative · entry 2

MAY MICHAEL H · CIK 0001785908 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2031-06-20

Read SEC document
June 21, 2021 Filed Jun 24, 2021 01:46 UTC GrantOption to Purchase Common Stock · Derivative 65,000 $0.00 Strike: $1.48 $0.00
Disclosure

SEC source: 0001209191-21-042894 · doc4.xml · derivative · entry 1

MAY MICHAEL H · CIK 0001785908 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,000

Underlying: Common Stock · 65,000 shares

Expires 2031-06-20

F1 · derivative.exercise_date: Options will vest and become exercisable in four equal quarterly installments on June 30, 2021, September 30, 2021, December 31, 2021, and March 31, 2022, provided that the grantee remains a director on the last day of the applicable calendar quarter.

Read SEC document
June 11, 2021 Filed Jun 16, 2021 01:12 UTC
WEST MICHAEL DDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 3,125 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-040796 · doc4.xml · derivative · entry 3

WEST MICHAEL D · CIK 0001202529 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,875

Underlying: Common Stock · 3,125 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Restricted Stock Units vested on June 11, 2021.

F2 · derivative.expiration_date: Restricted Stock Units vested on June 11, 2021.

Read SEC document
June 11, 2021 Filed Jun 16, 2021 01:12 UTC
WEST MICHAEL DDirector · Chief Executive Officer
Tax withholdingCommon Stock, $0.0001 par value 1,081 $1.53 $1,653.93
Disclosure

SEC source: 0001209191-21-040796 · doc4.xml · nonDerivative · entry 2

WEST MICHAEL D · CIK 0001202529 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,483

F1 · kind: Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 3,125 Restricted Stock Units, the grant of which was previously reported on a Form 4.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.