Serina Therapeutics gets NYSE American equity warning

Serina Therapeutics, Inc. reported that it received a notice from NYSE American stating the company no longer meets the exchange’s minimum stockholders’ equity standards.

Rhea-AI Filing Summary

Serina Therapeutics, Inc. reported that it received a notice from NYSE American stating the company no longer meets the exchange’s minimum stockholders’ equity standards. As of September 30, 2025, Serina had stockholders’ equity of $1.6 million and has recorded losses in three of its four most recent fiscal years, below the NYSE American thresholds tied to companies with recurring losses.

Serina has until February 8, 2026 to submit a plan showing how it will regain compliance by July 9, 2027, an 18‑month cure period. If the plan is accepted, the stock can continue trading while the exchange monitors progress; if not, delisting proceedings could begin, though the company would be able to appeal. For now, Serina’s shares remain listed and its business operations and SEC reporting continue unchanged.

Positive

• None.

Negative

• NYSE American non-compliance notice: Serina’s stockholders’ equity was $1.6 million as of September 30, 2025, below NYSE American’s minimum equity requirements, creating a defined delisting risk if compliance is not restored.

Insights

Equity & Listing Standards Analyst

NYSE American has flagged Serina for low equity, creating delisting risk.

Serina Therapeutics disclosed a notice from NYSE American that its stockholders’ equity of $1.6 million as of September 30, 2025 falls below several listing thresholds that range from $2.0 million to $6.0 million, depending on the duration of losses. The company has posted losses in three of its four most recent fiscal years, which ties it to the more stringent equity requirements.

The exchange has given Serina until February 8, 2026 to submit a compliance plan and until July 9, 2027 to execute it. During this cure period, continued listing depends on NYSE American accepting the plan and monitoring ongoing progress, otherwise delisting proceedings could start, with an appeal path under the Company Guide. The notice does not immediately affect trading or day‑to‑day operations, but it highlights balance sheet weakness that the company must address.

8-K Event Classification

3 items: 3.01, 7.01, 9.01

3 items

Item 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing Securities

The company received a delisting notice, failed to satisfy a continued-listing rule or standard, or transferred its listing.

Item 7.01 Regulation FD Disclosure Disclosure

Material non-public information disclosed under Regulation Fair Disclosure, often investor presentations or guidance.

Item 9.01 Financial Statements and Exhibits Exhibits

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

FAQ

Why did Serina Therapeutics (SER) receive a notice from NYSE American?

Serina Therapeutics received a notice because, as of September 30, 2025, it had stockholders’ equity of $1.6 million and has reported losses in three of its four most recent fiscal years, placing it below NYSE American’s minimum equity requirements tied to companies with recurring losses.

What are the NYSE American equity requirements cited for Serina Therapeutics (SER)?

The notice references NYSE American rules requiring stockholders’ equity of at least $2.0 million, $4.0 million, or $6.0 million, depending on whether a company has reported losses from continuing operations and/or net losses in two, three of four, or five consecutive fiscal years, respectively.

What deadlines does Serina Therapeutics (SER) face to regain NYSE American compliance?

Serina must submit a plan of compliance to NYSE American by February 8, 2026, outlining actions to regain compliance by July 9, 2027, which is the 18‑month cure period from receipt of the notice.

Is Serina Therapeutics’ (SER) stock being delisted from NYSE American now?

No. The notice has no immediate impact on Serina Therapeutics’ listing. Its common stock continues to trade on NYSE American while the company submits a plan and, if accepted, works through the cure period.

Does the NYSE American notice affect Serina Therapeutics’ (SER) operations or SEC reporting?

According to the disclosure, the NYSE American notice does not affect Serina Therapeutics’ ongoing business operations or its reporting obligations with the Securities and Exchange Commission.

What happens if NYSE American does not accept Serina Therapeutics’ (SER) compliance plan?

If NYSE American does not accept the plan, the exchange indicated that delisting proceedings will commence. Serina would have the right to appeal a staff delisting determination under Section 1010 and Part 12 of the NYSE American Company Guide.

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Accepted by SEC EDGAR 01/15/2026 - 04:03 PM Learn about SEC filing dates

0001708599false00017085992026-01-092026-01-09

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): January 9, 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 3.01. Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.

On January 9, 2026, Serina Therapeutics, Inc. (the “Company”) received a notification (the “Letter”) from The NYSE American LLC (the “NYSE American”) stating that the Company is not in compliance with the minimum stockholders’ equity requirements of Sections 1003(a)(i), 1003(a)(ii), and 1003(a)(iii) of the NYSE American Company Guide (the “Company Guide”) requiring stockholders’ equity of (i) $2.0 million or more if the Company has reported losses from continuing operations and/or net losses in two of its three most recent fiscal years, (ii) $4.0 million or more if the Company has reported losses from continuing operations and/or net losses in three of the four most recent fiscal years and (iii) $6.0 million or more if the Company has reported losses from continuing operations and/or net losses in its five most recent fiscal years, respectively. As of September 30, 2025, the Company had stockholders’ equity of $1.6 million and has had losses in three of its four most recent fiscal years ended December 31, 2024.

The Company is now subject to the procedures and requirements of Section 1009 of the Company Guide. The Company has until February 8, 2026 to submit a plan (the “Plan”) of actions it has taken or will take to regain compliance with the continued listing standards by July 9, 2027, which is eighteen months from receipt of the Letter (“Cure Period”). The Company intends to submit the Plan to regain compliance with NYSE American listing standards, however there can be no assurance that the Company will be able to achieve compliance with such standards within the Cure Period. If the NYSE American accepts the Plan, the Company will be able to continue its listing during the Cure Period and will be subject to periodic reviews including quarterly monitoring for compliance with the Plan until it has regained compliance. If the Plan is not accepted by the NYSE American, the Letter states that delisting proceedings will commence. The Company may appeal a staff delisting determination in accordance with Section 1010 and Part 12 of the Company Guide.

The notice has no immediate impact on the listing of the Company’s shares of common stock, which will continue to be listed and traded on the NYSE American, subject to the Company’s compliance with the other listing requirements of the NYSE American. The notice does not affect the Company’s ongoing business operations or its reporting requirements with the Securities and Exchange Commission.

Item 7.01. Regulation FD Disclosure.

A copy of the Company’s press release with respect to the Company’s receipt of the Letter is attached hereto as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated by reference in this Item 7.01.

The information provided in Item 7.01 of this report, including Exhibit 99.1, shall not be deemed “filed” for any purpose, nor shall the information or Exhibit 99.1 be deemed incorporated by reference in any filings under the Securities Act of 1933, as amended.

Item 9.01 - Financial Statements and Exhibits.

(d) Exhibits

Exhibit Number						Description
99.1						Press release, dated January 15, 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: January 15, 2026			By:			/s/ Steve Ledger
						Chief Executive Officer