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 (SER) reported that the U.S. Food and Drug Administration has placed a clinical hold on the company’s IND application for SER-252, its lead development program for advanced Parkinson’s disease. The update was announced on November 3, 2025.
The company furnished a press release as Exhibit 99.1 providing the regulatory update on the SER-252 program.
Serina Therapeutics (SER) reported an insider transaction by its Chief Scientific Officer. On 10/28/2025, the officer exercised 5,551 stock options at $0.06 per share and sold 5,551 shares at a weighted average price of $4.9615.
After these transactions, directly held common stock was 0 shares. The filing lists 404,186 derivative securities (stock options) beneficially owned following the transactions. The reported options are fully vested and carry an expiration date of 05/06/2031.
Serina Therapeutics (SER) disclosed an insider transaction by its Chief Scientific Officer. On 10/27/2025, the officer exercised 949 stock options at $0.06 and sold 949 common shares at a weighted average price of $5.1857, with sales ranging from $5.25 to $5.10. After these transactions, 0 common shares were beneficially owned directly, and 409,737 stock options remained outstanding and are fully vested.
Serina Therapeutics filed Amendment No. 1 to its definitive proxy for the November 7, 2025 Annual Meeting, updating disclosures for the proposal to approve, under NYSE American rules, the potential issuance of 20% or more of its outstanding common stock in connection with a Convertible Note and Warrants.
The update clarifies that approval is sought for compliance with Sections 711 and 713(a) of the NYSE American Company Guide. It adds that because Dr. Bailey is a director, under certain circumstances the issuance of shares to him pursuant to the Convertible Note and Warrants could be considered equity compensation under Rule 711, depending on the market price at each funding.
The company states that, without approval, it would be unable to issue 20% or more to the holders of the Convertible Note and Warrants, and that this limitation could have a material adverse effect on its financial condition. Proxies already received will continue to be voted as instructed unless changed.
Serina Therapeutics (SER) Chief Scientific Officer Randall Moreadith exercised stock options for 6,500 shares at $0.06 and sold 6,500 shares at a weighted average price of $4.9672 on 10/20/2025.
The sale occurred in multiple transactions between $5.02 and $4.88. Following the transactions, the Form 4 reports 0 shares of common stock directly owned and 410,686 derivative securities (stock options) beneficially owned. The exercised option was fully vested and carried a $0.06 exercise price with an expiration date of 05/06/2031.
Serina Therapeutics (SER) reported an insider transaction by its Chief Scientific Officer. On 10/13/2025, the officer exercised a stock option for 4,326 shares at $0.06 per share and sold 4,326 common shares at a weighted average price of $5.20, with individual sale prices ranging from $5.25 to $5.18. Following these transactions, common stock beneficially owned was 0 shares, and derivative securities beneficially owned were 417,186 stock options. The reported stock options are fully vested and carry an expiration date of 05/06/2031.
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.
Serina Therapeutics invites stockholders to its virtual Annual Meeting on November 7, 2025 at 11:00 a.m. Central Time to vote on electing two Class II directors, ratifying Frazier & Deeter, LLC as auditors, and approving a Convertible Note and Warrants Proposal under NYSE American rules. The Board set the record date as September 17, 2025. The proposal would permit issuance of up to $20 million of convertible notes convertible at $5.18 per share, with warrants issued equal to 100% of conversion shares at a $5.44 exercise price, and requires stockholder approval due to NYSE Rule 713. The Company previously sold Series A Preferred Stock for ~$5 million and disclosed related-party lending and asset-sale transactions involving Juvenescence and UniverXome. Dr. Gregory H. Bailey, a director, is a lender under the 2025 Convertible Note.
Serina Therapeutics will hold a virtual Annual Meeting on November 7, 2025 at 11:00 a.m. CT to elect two Class II directors (nominees Steve Ledger and Karen J. Wilson), ratify Frazier & Deeter, LLC as independent auditors, and seek shareholder approval under NYSE American rules for issuance of common stock related to the exercise of certain convertible notes and warrants. The company disclosed a September 9, 2025 unsecured convertible note facility of up to $20 million, convertible at $5.18 per share with accompanying warrants exercisable at $5.44 per share and warrant amounts equal to 100% of shares issuable on conversion. Executive pay disclosures include CEO Ledger's base salary of $450,000 (rising to $500,000 upon certain goals), a target annual incentive up to 50% of base salary, severance terms (12 months base salary if terminated without cause), CFO Curhan retained via consultant agreement at $650/hour, SVP Tenjarla base salary $375,000 plus a $25,000 signing bonus and 50% target bonus. The proxy describes committee compositions, Audit Committee oversight and independence, nomination procedures, and related-party and historical convertible-note transactions.
Serina Therapeutics entered into an unsecured convertible note of up to $20 million with director Gregory H. Bailey, M.D., providing flexible funding in five tranches tied to milestones in its SER-252-1b registrational clinical study through April 30, 2026. The note bears 10% annual interest, matures five years after initial funding, is prepayable without penalty, and can be converted at the holder’s option into common stock at $5.18 per share, subject to standard anti-dilution adjustments.
On each funding date, Serina will issue warrants with an exercise price of $5.44 per share for a number of shares equal to 100% of the shares issuable upon conversion of that tranche, with warrants generally expiring no later than September 30, 2026. The company will not issue common stock under the note and warrants in excess of 19.99% of shares outstanding as of September 9, 2025 without stockholder approval, and plans to seek this approval at its 2025 annual meeting. A special committee of independent directors evaluated and approved the related-party financing.