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 reported Q3 2025 results marked by losses and liquidity pressure. The company posted a net loss of $4.6 million for the quarter and $15.9 million for the nine months ended September 30, 2025, with no Q3 revenue and $0.1 million in grant revenue year to date. Cash and cash equivalents were $8.6 million as of September 30, 2025. Management states there is substantial doubt about the company’s ability to continue as a going concern.
Operating cash outflow was $11.9 million for the nine‑month period. To bolster liquidity, Serina raised capital through a $4.9 million private placement of Series A preferred stock, $2.2 million of net proceeds via an at‑the‑market program, and drew $5.0 million from a new unsecured convertible note that provides up to $20 million across clinical milestones. The FDA placed a clinical hold on the IND for SER‑252 on November 3, 2025, requesting additional information on an excipient. Shares outstanding were 10,664,064 as of November 10, 2025.
Serina Therapeutics (SER) insider transaction: The Chief Scientific Officer exercised stock options for 6,500 shares at $0.06 on 11/10/2025 and sold 6,500 shares of common stock at a weighted average price of $4.10. The filing notes sales occurred in multiple trades between $4.30 and $4.00. Following these transactions, common stock beneficial ownership was 0 shares.
The option exercised was a stock option (right to buy) fully vested, with an expiration date of 05/06/2031. Derivative securities beneficially owned after the reported transactions totaled 391,186 options.
Serina Therapeutics (SER) reported results from its 2025 Annual Meeting held on November 7, 2025. A quorum was present.
Shareholders elected two directors: Steve Ledger (For: 4,165,885; Withheld: 93,287; Broker non-votes: 2,681,141) and Karen J. Wilson (For: 4,169,893; Withheld: 89,279; Broker non-votes: 2,681,141) to serve until the 2028 meeting.
Shareholders ratified Frazier & Deeter, LLC as independent auditor for 2025 (For: 6,544,850; Against: 377,827; Abstain: 17,636). They also approved the issuance of common stock in connection with the exercise of the Convertible Note and Warrants (For: 4,149,038; Against: 108,481; Abstain: 1,653; Broker non-votes: 2,681,141).
Serina Therapeutics (SER) reported a director stock option grant. On 11/07/2025, the reporting person received stock options for 10,000 shares at a $3.91 exercise price. The options vest on the earlier of the day before the next Annual Meeting or the one-year anniversary of the grant date, subject to continued service. The options expire on 11/07/2035. Following the grant, 10,000 derivative securities were beneficially owned, held directly. The transaction was coded “A” for award/grant.
Serina Therapeutics (SER) reported a director equity grant. On 11/07/2025, a stock option (right to buy) for 10,000 shares was awarded at an exercise price of $3.91 per share, coded A for grant. The option expires on 11/07/2035 and was recorded as Direct (D) ownership with 10,000 derivative securities beneficially owned after the transaction.
The options vest on the earlier of the day before the next Annual Meeting or the one-year anniversary of the grant date, subject to the director’s continued service.
Serina Therapeutics (SER) reported a director equity award. On 11/07/2025, the director received stock options for 10,000 shares at an exercise price of $3.91, expiring on 11/07/2035. The options vest on the earlier of the day before the next Annual Meeting or the one-year anniversary of the grant date, subject to continued service. Following the award, the reporting person beneficially owned 10,000 derivative securities directly.
Serina Therapeutics (SER) reported a routine insider equity award. A director received a stock option grant for 10,000 shares on 11/07/2025 with an exercise price of $3.91 and an expiration date of 11/07/2035.
The options vest on the earlier of the day before the next Annual Meeting or the one-year anniversary of the grant date, conditioned on continued service. The filing lists the derivative security as directly owned and records the post‑transaction derivative balance at 10,000.
Serina Therapeutics (SER) reported an insider equity award. A director received a grant of 10,000 stock options on 11/07/2025 with an exercise price of $3.91 per share.
The options expire on 11/07/2035 and will vest on the earlier of the day before the next Annual Meeting or the one-year anniversary of the grant date, contingent on continued service. Following the grant, the reporting person beneficially owns 10,000 derivative securities, held Direct (D). The grant price for the derivative security was listed as $0.
Serina Therapeutics (SER) reported an insider transaction by its Chief Scientific Officer. On 11/05/2025, the officer exercised stock options for 3,398 shares at $0.06 per share and sold 3,398 common shares at a $4.24 weighted average price, with individual sale prices ranging from $4.30 to $4.225.
Following the transactions, the non-derivative common stock balance reported was 0 shares direct. Derivative holdings reported included 397,686 stock options. The exercised option series listed an expiration of 05/06/2031.
Serina Therapeutics (SER): Form 4 insider activity. The Chief Scientific Officer exercised stock options for 3,102 shares at $0.06 on 11/04/2025 and sold 3,102 common shares at a weighted average price of $4.3953 the same day. Following these transactions, common stock beneficially owned was 0 shares direct. The filing notes the sale was executed in multiple trades between $4.65 and $4.35. The reporting person continues to hold 401,084 stock options, which are fully vested, expiring on 05/06/2031.