Serina Therapeutics removes Series A from charter

The shares previously designated as Series A preferred stock resumed status as authorized but unissued preferred stock without a series designation.

Rhea-AI Filing Summary

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.

8-K Event Classification

2 items: 5.03, 9.01

2 items

Item 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year Governance

The company amended its charter documents, bylaws, or changed its fiscal year.

Item 9.01 Financial Statements and Exhibits Exhibits

Financial statements, pro forma financial information, or exhibit attachments filed with this report.

Key Terms

Certificate of Elimination, Certificate of Designations, authorized but unissued shares

3 terms

Certificate of Elimination regulatory

"filed a Certificate of Elimination with the Secretary of State"

An official document issued by a public health or regulatory authority stating that a particular disease, contaminant, or hazard has been removed or is no longer present at detectable levels within a defined area or system. For investors, it signals a reduced regulatory risk and potential reopening of economic activity—like a clearance certificate that lets a business or region return to normal operations, which can affect demand, costs, and market confidence.

Certificate of Designations regulatory

"matters set forth in the Certificate of Designations"

A certificate of designations is a formal legal document that spells out the specific rights and rules attached to a particular class of stock, most often preferred shares. It tells investors who gets paid first, what dividends or conversion rights exist, and any voting or liquidation priorities—like an instruction sheet that decides which shareholders get preference if a company pays out or is sold. Those terms directly affect a security’s value and risk.

authorized but unissued shares technical

"authorized but unissued shares of the Company’s preferred stock"

Authorized but unissued shares are the number of shares a company is legally allowed to create but has not yet issued to investors, employees, or other parties. They matter to investors because issuing those reserved shares in the future can dilute existing ownership, raise cash, or be used for employee pay and acquisitions—like having empty slots a company can fill later, which changes voting power and per-share value.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What happened to SER's Series A preferred stock?

All issued and outstanding Series A Convertible Preferred Stock had been converted into common stock, and none remained outstanding. On October 5, 2026, Serina filed a Certificate of Elimination removing the Series A designation; the formerly designated shares became authorized but unissued preferred stock without a series designation.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 10/09/2026 - 05:19 PM Accepted by SEC EDGAR 10/09/2026 - 05:19 PM Learn about SEC filing dates

000170859912/31false00017085992026-10-052026-10-0500017085992026-12-312026-12-31

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 5, 2026

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 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.

On October 5, 2026, Serina Therapeutics, Inc. (the “Company”) filed a Certificate of Elimination (the “Certificate of Elimination”) with the Secretary of State of the State of Delaware, pursuant to Section 151(g) of the General Corporation Law of the State of Delaware, eliminating from the Company’s First Amended and Restated Certificate of Incorporation, as amended, all matters set forth in the Certificate of Designations of Preferences, Rights and Limitations of Series A Convertible Preferred Stock, filed with the Secretary of State of the State of Delaware on April 10, 2025, as corrected by the Certificate of Correction filed on May 22, 2025 (together, the “Certificate of Designations”), with respect to the Company’s Series A Convertible Preferred Stock, par value $0.0001 per share (the “Series A Preferred Stock”).

None of the shares of Series A Preferred Stock are outstanding, because all issued and outstanding shares of Series A Preferred Stock have been converted into shares of the Company’s common stock, and none will be issued subject to the Certificate of Designations. Upon the filing of the Certificate of Elimination, the shares previously designated as Series A Preferred Stock resumed the status of authorized but unissued shares of the Company’s preferred stock, without designation as to series.

The foregoing description of the Certificate of Elimination does not purport to be complete and is qualified in its entirety by reference to the full text of the Certificate of Elimination, a copy of which is attached as Exhibit 3.1 to this Current Report on Form 8-K and is incorporated herein by reference.

Item 9.01 - Financial Statements and Exhibits.

(d) Exhibits

Exhibit Number						Description
3.1						Certificate of Elimination of Series A Convertible Preferred Stock of Serina Therapeutics, Inc., filed with the Secretary of State of the State of Delaware on October 5, 2026.
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 9, 2026			By:			/s/ Steve Ledger
						Chief Executive Officer

Filing Exhibits & Attachments

4 documents

Other Documents

• EX-3.1 EX-3.1 8.6 KB
• EX-101 XBRL TAXONOMY EXTENSION SCHEMA DOCUMENT 1.8 KB
• EX-101 XBRL TAXONOMY EXTENSION LABEL LINKBASE DOCUMENT 23.2 KB
• EX-101 XBRL TAXONOMY EXTENSION PRESENTATION LINKBASE DOCUMENT 13.3 KB