Serina Therapeutics, Inc. (SER) SEC filings document a clinical-stage biotechnology company developing its proprietary POZ Platform™ drug optimization technology and SER-252 for advanced Parkinson’s disease. The company’s filings cover quarterly financial reports, material event reports, securities registration statements, governance matters, financing agreements, and clinical-program updates.
For biotechnology investors, Serina’s 10-Q quarterly reports are useful for reviewing research and development activity, warrant liabilities, stockholders’ equity matters, related-party disclosures, and financing instruments. Material event filings have disclosed SER-252 study updates, Safety Monitoring Committee review, cohort advancement, financial results releases, employment agreements, director appointments, annual meeting voting results, and amendments to authorized share capital.
Registration statements and related 8-K filings provide detail on common stock purchase agreements, resale registration matters, selling stockholder arrangements, and potential issuance of common stock. Annual reports on Form 10-K, when available, are important for reviewing risk factors, business descriptions, liquidity discussion, executive compensation references, and audited financial statements. Insider transaction filings on Form 4 are relevant for tracking reported purchases, sales, grants, and other ownership changes by company insiders.
Key SER filing topics include the SER-252 advanced Parkinson’s disease program, POZ Platform research and development, financing capacity, equity-linked instruments, governance actions, and the company’s reported segment related to POZ platform research and development.
Serina Therapeutics, Inc. filed a Certificate of Elimination on October 5, 2026, removing the Series A Convertible Preferred Stock designation from its charter. All issued and outstanding Series A shares had been converted into common stock, and none remained outstanding. The shares previously designated as Series A preferred stock resumed status as authorized but unissued preferred stock, without a series designation.
Serina Therapeutics, Inc. (SER) reported initial blinded observations from Cohort 1 of its ongoing Phase 1b registrational study of SER-252 in patients with advanced Parkinson’s disease. An independent Safety Monitoring Committee completed its blinded safety and tolerability review and recommended that the study advance to Cohort 2, supporting continued dose escalation.
Cohort 1, which tested the lowest single dose of subcutaneous SER-252, showed a pharmacokinetic profile consistent with sustained apomorphine exposure and included sustained periods of motor-function improvement in individual patients on exploratory measures. The study will progress through ascending dose levels, and Serina expects topline data from the single-ascending-dose portion in the first half of 2027.
Serina Therapeutics, Inc. (SER) entered into a Common Stock Purchase Agreement and related Registration Rights Agreement with Roth Principal Investments, LLC, giving Serina the right, in its sole discretion, to sell up to $25,000,000 of newly issued common stock over up to 36 months after a resale registration statement is declared effective. Purchases are structured as Market Open, Intraday, Pre‑Market, or Post‑Market Purchases, each priced off the stock’s VWAP with tiered discounts via an “Applicable Multiplier” ranging from 0.93 to 0.97 depending on cumulative amounts sold and purchase timing.
Under NYSE American rules, issuances to Roth are capped at 5,077,554 shares, equal to 19.99% of shares outstanding before the agreement, unless pricing meets or exceeds a $2.7695 Base Price or stockholder approval lifts the cap, and Roth cannot exceed 4.99% beneficial ownership. Serina agrees to a standstill on other equity issuances until the registration statement is effective and to avoid most other variable‑rate financing during the term, while reimbursing Roth’s legal fees ($100,000 upfront plus up to $7,500 per quarter) and paying Compass Point Research & Trading up to $50,000 as qualified independent underwriter. Net proceeds, if Serina elects to draw on the facility, are planned for working capital and general corporate purposes.
Serina Therapeutics, Inc. (SER) has filed an S-1 to register up to 12,500,000 shares of common stock for resale by Roth Principal Investments, LLC under a committed equity facility. These “Purchase Shares” may be issued to Roth over up to 36 months, with Serina able to raise up to $25,000,000 in gross proceeds at its sole discretion based on VWAP-driven pricing formulas.
Serina receives no proceeds from Roth’s resale of shares, only from primary issuances it elects to make to Roth under a Common Stock Purchase Agreement. As of August 21, 2026, Serina had 25,400,473 shares outstanding; if all 12,500,000 registered shares were issued, they would represent about 33.0% of outstanding stock and 55.2% of non‑affiliate holdings, creating significant potential dilution. NYSE American rules cap issuances at 5,077,554 shares (19.99%) absent shareholder approval, and Roth is subject to a 4.99% Beneficial Ownership Limitation.
Serina is a clinical‑stage biotech focused on CNS diseases, with lead candidate SER‑252 in a Phase 1b trial. Disclosed risks include substantial doubt about the company’s ability to continue as a going concern and the possibility of NYSE American delisting if listing standards are not met, alongside volatility and dilution effects from use of the equity facility.
Serina Therapeutics, Inc. reported second-quarter 2026 results and business updates centered on its lead Parkinson’s disease candidate SER-252. Enrollment and dosing of all eight patients in Cohort 1 of the Phase 1b registrational study were completed in July 2026, ahead of prior guidance, with top-line data from the single-ascending-dose arm targeted for the first half of 2027. Serina also entered a development partnership with Gannet BioChem to support process development, scale-up and manufacturing for SER-252 and appointed Farrell Simon, Pharm.D., to its Board and key committees.
For the quarter ended June 30, 2026, Serina reported no revenue and operating expenses of $6.8 million, mainly from $3.8 million in research and development and $3.0 million in general and administrative costs. Net loss was $6.4 million, with net loss attributable to common stockholders of $8.9 million, or $(0.55) per share. Cash and cash equivalents were $23.0 million as of June 30, 2026, supported by $31.3 million of net cash provided by financing activities in the first half of 2026. The company highlights typical clinical, regulatory, financing and ability to continue as a going concern risks in its forward-looking statements disclosure.
Serina Therapeutics, Inc. reported no revenue for the three and six months ended June 30, 2026, compared with $0.1 million of grant revenue in the prior-year periods. Operating expenses rose as the company advanced its POZ polymer-based neurology pipeline.
For the six months ended June 30, 2026, Serina recorded a net loss of $13.3 million and used $11.3 million of net cash in operating activities. Cash and cash equivalents increased to $23.0 million, driven by equity financings including the March 2026 PIPE and ATM sales. Management states that existing cash is not expected to be sufficient for the next 12 months, and discloses substantial doubt about the company’s ability to continue as a going concern, indicating a need for additional capital to fund ongoing clinical development and operations.
Serina Therapeutics, Inc. reported that director Simon Farrell received a grant of stock options covering 30,500 shares of common stock. The options have an exercise price of $2.1700 per share, expire on 2036-07-22, and vest in substantially equal yearly installments over three years beginning on the first anniversary of the grant date, subject to his continued service. Following this grant, Farrell holds 30,500 stock options directly.
Serina Therapeutics, Inc. reported a Form 3 insider filing for director Simon Farrell. This initial insider report shows no listed buy, sell, acquisition, disposition, option exercise, gift, or derivative transactions, and the structured data includes no reported current derivative positions or holding entries for this reporting person.
Serina Therapeutics, Inc. entered into an Amended and Restated Employment Agreement with Chief Executive Officer Steve Ledger, providing an annual base salary of $500,000 and a target annual bonus equal to 50% of base salary, based on goals established by the Board of Directors.
For a termination by the company without Cause or a resignation for Good Reason outside a Change in Control, Ledger is entitled to 12 months of base salary, a prorated target bonus, and up to 12 months of reimbursed COBRA premiums, subject to signing and not revoking a release of claims.
If this type of termination occurs in connection with a Change in Control, he instead receives 1.5 times base salary, 1.5 times target annual bonus, a prorated target bonus, up to 18 months of COBRA reimbursement, and full accelerated vesting of then-unvested time-based equity awards. The agreement includes confidentiality, a two‑year post-termination non-competition covenant, 18‑month non-solicitation and no-hire restrictions, non-disparagement, and a Section 280G “best-net” reduction rather than an excise tax gross-up.