[8-K] Serina Therapeutics, Inc. Reports Material Event

Rhea-AI Filing Summary

Serina Therapeutics, Inc. (NYSE American: SER) filed a Form 8-K on 29-Jul-2025 under Item 7.01 (Regulation FD). The filing furnishes—rather than files—a press release and an investor presentation (Exhibits 99.2 and 99.1) that spotlight the advancement of SER-270 (POZ-VMAT2i), a proprietary POZ-conjugated VMAT2 inhibitor in development for tardive dyskinesia. CEO Steve Ledger will discuss the program during the BTIG Virtual Biotechnology Conference on the same day using the accompanying presentation materials. No financial results, clinical data, guidance, or other material transactions are disclosed, and the company expressly states the furnished information will not be incorporated into future Securities Act filings unless specifically referenced. No other Items were reported.

Positive

• Pipeline visibility: Management spotlights SER-270, reinforcing pipeline momentum ahead of investor meetings.

Negative

• No new clinical or financial data: Filing offers no efficacy, safety, or revenue guidance, limiting immediate valuation impact.
• Information only furnished: Data are not deemed filed, suggesting limited materiality.

Insights

Biotech Equity Analyst

TL;DR: Neutral 8-K furnishes pipeline update; informative but lacks data or financial impact.

The company’s decision to highlight SER-270 via Regulation FD suggests it wants to raise visibility ahead of a conference rather than announce inflection-point results. Investors learn that a VMAT2 inhibitor has progressed internally, but without efficacy, safety, or regulatory milestones the disclosure is not immediately price-moving. The lack of financial metrics or guidance further limits impact. Nevertheless, the mention of proprietary POZ chemistry may remind the market of Serina’s platform potential and help management gauge investor interest.

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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): July 29, 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 7.01. Regulation FD Disclosure

On July 29, 2025, Serina Therapeutics, Inc. (the “Company”) issued a press release announcing the advancement of its novel product candidate, SER-270, a proprietary POZ-conjugated vesicular monoamine transporter 2 (VMAT2) inhibitor in development for the treatment of tardive dyskinesia. Steve Ledger, the Company’s Chief Executive Officer will be participating at the BTIG Virtual Biotechnology Conference on July 29, 2025 (the “BTIG Conference”), where he will discuss the advancement of the SER-270, also referred to as POZ-VMAT2i, program in development and will be using the materials furnished as Exhibit 99.1 to this report (the “Presentation”) in connection with the BTIG Conference. The Presentation is incorporated into this Item 7.01 by reference. A copy of the press release is furnished as Exhibit 99.2 hereto and is incorporated into this Item 7.01 by reference.

The information in this Item 7.01 is being furnished, not filed, pursuant to Regulation FD. Accordingly, the information in Item 7.01 of this report will not be incorporated by reference into any registration statement filed by the Company under the Securities Act of 1933, as amended, unless specifically identified therein as being incorporated therein by reference. The furnishing of the information in this report is not intended to, and does not, constitute a determination or admission by the Company that the information in this report is material or complete, or that investors should consider this information before making an investment decision with respect to any security of the Company or any of its affiliates.

Item 9.01 - Financial Statements and Exhibits.

(d) Exhibits

Exhibit Number						Description
99.1						Presentation of Serina Therapeutics, Inc. to be used beginning July 29, 2025
99.2						Press Release, dated July 29, 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: July 29, 2025			By:			/s/ Steve Ledger
						Chief Executive Officer

FAQ

What event triggered Serina Therapeutics' July 29 2025 Form 8-K?

The company furnished a press release and presentation on the advancement of SER-270 and its appearance at the BTIG Virtual Biotechnology Conference.

Which SEC item was used in the Serina Therapeutics 8-K?

Item 7.01 – Regulation FD Disclosure.

What is SER-270 mentioned by Serina Therapeutics (SER)?

SER-270 is a POZ-conjugated VMAT2 inhibitor being developed for tardive dyskinesia.

Did the 8-K include financial results or guidance?

No. The filing contained no financial metrics, earnings data, or guidance.

Where can investors find the presentation materials?

The investor presentation is furnished as Exhibit 99.1 to the Form 8-K.

Is the furnished information considered filed for legal purposes?

No. Serina stated the information is furnished, not filed, and will not be incorporated into future filings unless specifically referenced.