Serina Therapeutics Announces NYSE American Acceptance of Continued Listing Compliance Plan
Rhea-AI Summary
Serina Therapeutics (NYSE American: SER) said NYSE American accepted its plan for continued listing compliance and granted a cure period through July 9, 2027. The company previously reported $1.6 million in stockholders' equity and multi-year losses. Serina will remain listed and face quarterly monitoring while it works to regain conformity; failure to comply could trigger suspension and delisting.
Positive
- NYSE American accepted listing compliance plan
- Listing maintained through July 9, 2027
- Common stock continues trading on NYSE American
Negative
- Stockholders' equity of $1.6 million
- Losses in 3 of 4 most recent fiscal years
- Risk of suspension and delisting if not compliant by July 9, 2027
News Market Reaction – SER
In the Apr 6 session, SER gained 1.42%, reflecting a mild positive market reaction. Argus tracked a peak move of +15.6% during that session. Argus tracked a trough of -2.4% from its starting point during tracking. Our momentum scanner triggered 3 alerts that day, indicating moderate trading interest and price volatility.
Data tracked by StockTitan Argus on the day of publication.
Key Figures
Historical Context
| Date | Event | Sentiment | 24h Move | Catalyst |
|---|---|---|---|---|
| Mar 25 | Full-year results | Positive | -13.9% | 2025 financials, SER-252 IND clearance, financing and cash position update. |
| Mar 24 | Conference appearance | Neutral | -22.9% | Announcement of CEO fireside chat at 38th Annual Roth Conference. |
| Mar 18 | Private placement | Positive | +93.8% | Up to $30M private placement with warrants to fund SER-252 trial. |
| Feb 24 | Clinical dosing | Positive | +6.0% | First patient dosed in Phase 1b registrational SER-252 trial. |
| Feb 19 | Trial enrollment | Positive | +3.0% | First patient enrollment in Phase 1b SER-252 trial for Parkinson’s. |
24h Move is the share-price change in the day after each event; other market factors may also have contributed.
Positive clinical and financing updates have often seen aligned gains, while earnings and non-clinical news have drawn negative reactions.
Over recent months, Serina has advanced its SER-252 Parkinson’s program with first patient enrollment and dosing in a Phase 1b registrational trial and secured up to $30 million in private placement financing. Earnings on March 25, 2026 and a conference appearance on March 24, 2026 were followed by notable declines, while the private placement news saw a strong gain. Today’s NYSE American compliance-plan acceptance fits into an ongoing effort to stabilize listing status while progressing clinical development and funding.
Key Terms
continued listing standards regulatory
stockholders’ equity financial
delisting procedures regulatory
AI-generated analysis. How Rhea-AI works. Not financial advice.
HUNTSVILLE, April 02, 2026 (GLOBE NEWSWIRE) -- Serina Therapeutics, Inc. (“Serina” or the "Company") (NYSE American: SER), a clinical-stage biotechnology company developing its proprietary POZ Platform™ drug optimization technology, today reported that the NYSE American LLC ("NYSE American") has accepted the Company’s business plan to regain compliance with the continued listing standards set forth in Sections 1003(a)(i) or 1003(a)(ii) of the NYSE American Company Guide.
"We are pleased that NYSE American has accepted our plan to regain compliance with its continued listing standards," said Steve Ledger, CEO of Serina. "We remain focused on executing the SER-252 clinical program and advancing our POZ Platform technology."
As previously disclosed, on January 9, 2026, the Company received a notice from NYSE American that the Company was not in compliance with NYSE American Company Guide Sections 1003(a)(i), 1003(a)(ii), and 1003(a)(iii) because at such time the Company had stockholders’ equity of
Based upon a review of the compliance plan and information submitted by the Company, NYSE American has accepted the submission. In accordance with NYSE American rules, the Company will now be given until July 9, 2027 to regain conformity with continued listing standards. The Company’s common stock will continue to be listed on NYSE American during such time, subject to the Company’s compliance with other continued listing standards. The Company will also be subject to quarterly monitoring by NYSE American for compliance with the plan. If the Company fails to comply with the plan or does not meet continued listing standards at the end of the cure period, it will be subject to the prompt initiation of NYSE American suspension and delisting procedures.
About Serina Therapeutics
Serina is a clinical-stage biotechnology company developing a pipeline of wholly owned drug product candidates to treat neurological diseases and other indications. Serina’s POZ PlatformTM provides the potential to improve the integrated efficacy and safety profile of multiple modalities including small molecules, RNA-based therapeutics and antibody-based drug conjugates (ADCs). Serina is headquartered in Huntsville, Alabama on the campus of the HudsonAlpha Institute of Biotechnology.
For more information, please visit https://serinatx.com.
Cautionary Statement Regarding Forward-Looking Statement
This release contains forward-looking statements within the meaning of federal securities laws. Any express or implied statements that are not historical fact (including, but not limited to, statements regarding regaining compliance with NYSE American continued listing standards or that contain words such as “may,” “will,” “believes,” “plans,” “intends,” “anticipates,” “expects,” “estimates”) should be considered to be forward-looking statements. Undue reliance should not be placed on these forward-looking statements which speak only as of the date they are made, and the facts and assumptions underlying these statements may change. These statements are based on management’s current expectations, plans, beliefs or forecasts for the future, and are subject to uncertainty and changes in circumstances. Factors that could cause actual results to differ materially from the results anticipated in these forward-looking statements are contained in Serina’s Annual Report on Form 10-K for the year ended December 31, 2025 under the heading “Risk Factors” and other filings that Serina may make with the SEC. The information contained in this release is as of the date hereof, and except as required by law Serina assumes no obligation to update forward-looking statements as the result of new information or future events or developments.
For inquiries, please contact:
Stefan Riley
sriley@serinatherapeutics.com
(256) 327-9630
