Serina Therapeutics (SER) receives first $5M from unsecured convertible note

Rhea-AI Filing Summary

Serina Therapeutics, Inc. reported that on October 6, 2025 it received the first $5 million of funding under a previously announced unsecured convertible note dated September 9, 2025. This funding provides the company with additional cash through a debt instrument that can convert into equity under terms described in an earlier disclosure filed on September 15, 2025. The company also issued a press release on October 6, 2025 describing this development.

Insights

Capital structure and biotech financing analyst

Serina receives $5M under an unsecured convertible note, adding cash while potentially increasing future equity overhang.

The company states it has received the first $5 million of funding under an unsecured convertible note dated September 9, 2025. This immediately boosts liquidity, which can be important for a clinical-stage or development-focused business that does not yet generate large operating cash flows.

Because the instrument is a convertible note, investors can expect the lender to have a path to receive equity in the future, with specific conversion terms described in the earlier disclosure filed on September 15, 2025. The eventual impact on existing shareholders will depend on those terms and on how the company’s share price evolves relative to any conversion features.

The company also references a press release dated October 6, 2025, which may provide additional operational or strategic context around the use of proceeds and rationale for choosing an unsecured convertible structure instead of other financing forms.

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (date of earliest event reported): October 6, 2025

Serina Therapeutics, Inc.

(Exact name of registrant as specified in its charter)

Delaware

1-38519

82-1436829

(State or other jurisdiction of incorporation)

(Commission File Number)

(IRS Employer Identification No.)

601 Genome Way, Suite 2001

Huntsville, Alabama 35806

(Address of principal executive offices)

(256) 327-9630

(Registrant’s telephone number, including area code)

Not applicable

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

o			Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o			Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o			Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o			Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

Title of each class

Trading Symbol

Name of exchange on which registered

Common Stock, par value $0.0001 per share

SER

NYSE American

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). Emerging growth company o

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. o

Item 8.01 Other Events.

On October 6, 2025, Serina Therapeutics, Inc., a Delaware corporation (the “Company”), announced that it has received the first $5 million of funding under the previously announced unsecured convertible note (the “Convertible Note”) dated September 9, 2025.

Additional information regarding the Convertible Note is set forth in the Current Report on Form 8-K filed by the Company with the Securities and Exchange Commission on September 15, 2025.

Item 9.01 - Financial Statements and Exhibits.

(d) Exhibits

Exhibit Number						Description
99.1						Press Release, dated October 06, 2025, issued by Serina Therapeutics, Inc.
104						Cover Page Interactive Data File (embedded within the Inline XBRL document)

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

			SERINA THERAPEUTICS, INC.
Date: October 6, 2025			By:			/s/ Steve Ledger
						Chief Executive Officer

FAQ

What funding did Serina Therapeutics (SER) announce on October 6, 2025?

Serina Therapeutics announced that it received the first $5 million of funding under a previously announced unsecured convertible note dated September 9, 2025.

What type of financing is Serina Therapeutics (SER) using for the new $5 million funding?

The company is drawing funds from an unsecured convertible note, which is debt that can later be converted into equity under specified terms.

When was the unsecured convertible note for Serina Therapeutics (SER) originally dated?

The unsecured convertible note providing this funding was dated September 9, 2025.

Where can investors find more details on Serina Therapeutics' (SER) convertible note terms?

Additional information on the convertible note is described in a prior disclosure filed with the SEC on September 15, 2025.

Did Serina Therapeutics (SER) issue a press release about the $5 million funding?

Yes, the company issued a press release dated October 6, 2025 discussing the receipt of the first $5 million under the unsecured convertible note.

Does the new $5 million funding from the convertible note affect Serina Therapeutics’ (SER) equity?

The funding comes from a convertible note, meaning the lender may receive equity in the future according to the conversion terms described in the earlier SEC disclosure.