---
schema_version: "secwatch.filing_event.v1"
accession: "0001493152-23-013662"
form_type: "8-K"
ticker: "SER"
cik: "0001708599"
company_name: "Serina Therapeutics, Inc."
filed_at: "2023-04-26T23:59:59+00:00"
generated_at: "2026-06-16T13:10:45.833379+00:00"
event_type: "regulatory"
sentiment: "negative"
materiality_score: 0.8
calibrated_materiality_score: 0.8
confidence: "high"
source: SEC EDGAR
---

# AgeX receives NYSE American delisting notice for low stockholders' equity; faces potential delisting by May 17, 2023

## Summary
- NYSE American cited AgeX for stockholders' equity below $2M, $4M, and $6M thresholds with sustained losses.
- AgeX must comply or show progress by May 17, 2023, or delisting proceedings will be initiated.
- If delisted, AgeX plans to have its common stock quoted on an electronic interdealer quotation system (OTC).
- AgeX remains subject to conditions from prior deficiency letters regarding stockholders' equity.

## SEC filing metadata
- accession: 0001493152-23-013662
- form_type: 8-K
- ticker: SER
- cik: 0001708599
- company_name: Serina Therapeutics, Inc.
- filed_at: 2023-04-26T23:59:59+00:00
- event_type: regulatory
- sentiment: negative
- materiality_score: 0.8
- calibrated_materiality_score: 0.8
- confidence: high
- sec_items: 3.01, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1708599/000149315223013662/0001493152-23-013662-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1708599/000149315223013662/form8-k.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001493152-23-013662
- JSON: https://secwatch.observer/filing/0001493152-23-013662.json
- Plain text: https://secwatch.observer/filing/0001493152-23-013662.txt

## Key facts
- Listing & Compliance Notices
  Serina Therapeutics, Inc. received a nyse_american deficiency notice notice regarding stockholders equity (rules 1003(a)(i), 1003(a)(ii), 1003(a)(iii)).
  - Exchange: nyse american
  - Notice: deficiency notice
  - Deficiency: stockholders equity
  - Rules: 1003(a)(i), 1003(a)(ii), 1003(a)(iii)
  source text: April 20, 2023, AgeX received a letter (the “Deficiency Letter”) from the staff of the NYSE American (the “Exchange”) indicating that AgeX does not meet certain of the Exchange’s continued listing standards as set forth in Sections 1003(a)(i), (ii), and (iii) of the Exchange Company Guide in that AgeX has stockholders equity of less than (A) $2,000,000 and has incurred losses from continuing operations and/or net losses during its two most recent fiscal years, (B) $4,000,000 and has incurred losses from continuing operations and/or net losses during three out of four of its most recent fiscal
  evidence_url: https://www.sec.gov/Archives/edgar/data/1708599/000149315223013662/0001493152-23-013662-index.htm

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