---
schema_version: "secwatch.filing_event.v1"
accession: "0001493152-22-033719"
form_type: "8-K"
ticker: "SER"
cik: "0001708599"
company_name: "Serina Therapeutics, Inc."
filed_at: "2022-11-25T23:59:59+00:00"
generated_at: "2026-06-21T13:04:27.722640+00:00"
event_type: "regulatory"
sentiment: "negative"
materiality_score: 0.65
calibrated_materiality_score: 0.65
confidence: "high"
source: SEC EDGAR
---

# NYSE American grants AgeX extension to May 17, 2023 to meet $4M equity minimum for continued listing

## Summary
- NYSE American accepted AgeX's revised compliance plan and extended deadline to May 17, 2023 for meeting $4M stockholders' equity minimum.
- If AgeX fails to comply by May 17, 2023 or fails to meet plan milestones, NYSE American will initiate delisting proceedings.
- AgeX intends to arrange for quotation on an electronic interdealer system (e.g., OTC) if delisted from NYSE American.
- The Exchange will periodically review AgeX's progress against plan milestones during the extension period.

## SEC filing metadata
- accession: 0001493152-22-033719
- form_type: 8-K
- ticker: SER
- cik: 0001708599
- company_name: Serina Therapeutics, Inc.
- filed_at: 2022-11-25T23:59:59+00:00
- event_type: regulatory
- sentiment: negative
- materiality_score: 0.65
- calibrated_materiality_score: 0.65
- confidence: high
- sec_items: 3.01, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1708599/000149315222033719/0001493152-22-033719-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1708599/000149315222033719/form8-k.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001493152-22-033719
- JSON: https://secwatch.observer/filing/0001493152-22-033719.json
- Plain text: https://secwatch.observer/filing/0001493152-22-033719.txt

## Key facts
- Listing & Compliance Notices
  Serina Therapeutics, Inc. received a nyse_american extension granted notice regarding stockholders equity (rules 1003(a)(i), 1003(a)(ii)).
  - Exchange: nyse american
  - Notice: extension granted
  - Deficiency: stockholders equity
  - Rules: 1003(a)(i), 1003(a)(ii)
  source text: November 22, 2022 we received a notification from the staff of the NYSE American (the “Exchange”) indicating that the Exchange has accepted a revised listing compliance plan from AgeX and has granted AgeX an extension of time to regain compliance with the Exchange’s continued listing standards as set forth in Section 1003(a)(i) and (ii) of the Exchange Company Guide by increasing our stockholders equity to not less than $4,000,000. The Exchange staff will periodically review our adherence to the plan milestones. If we are not in compliance with the continued listing standards by May 17, 2023
  evidence_url: https://www.sec.gov/Archives/edgar/data/1708599/000149315222033719/0001493152-22-033719-index.htm

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.