---
schema_version: "secwatch.filing_event.v1"
accession: "0001493152-23-018725"
form_type: "8-K"
ticker: "SER"
cik: "0001708599"
company_name: "Serina Therapeutics, Inc."
filed_at: "2023-05-23T23:59:59+00:00"
generated_at: "2026-06-14T17:24:06.005544+00:00"
event_type: "other_material"
sentiment: "negative"
materiality_score: 0.85
calibrated_materiality_score: 0.85
confidence: "high"
source: SEC EDGAR
---

# AgeX (AGE) receives NYSE American delisting notice; intends to appeal

## Summary
- NYSE American intends to delist AgeX for failing stockholders' equity requirements (below $2M, $4M, $6M thresholds) and losses.
- AgeX intends to appeal to a Committee of the Exchange's Board; appeal will stay delisting proceedings pending decision.
- If delisted, AgeX plans to have its common stock quoted on an electronic interdealer quotation system (e.g., OTC).
- AgeX drew $500,000 on its Secured Note with Juvenescence on May 19; repayment due Feb 14, 2024.

## SEC filing metadata
- accession: 0001493152-23-018725
- form_type: 8-K
- ticker: SER
- cik: 0001708599
- company_name: Serina Therapeutics, Inc.
- filed_at: 2023-05-23T23:59:59+00:00
- event_type: other_material
- sentiment: negative
- materiality_score: 0.85
- calibrated_materiality_score: 0.85
- confidence: high
- sec_items: 2.03, 3.01, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1708599/000149315223018725/0001493152-23-018725-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1708599/000149315223018725/form8-k.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001493152-23-018725
- JSON: https://secwatch.observer/filing/0001493152-23-018725.json
- Plain text: https://secwatch.observer/filing/0001493152-23-018725.txt

## Key facts
- Debt Financings
  Serina Therapeutics, Inc. incurred convertible notes of $500,000 with Juvenescence Limited maturing February 14, 2024.
  - Instrument: convertible notes
  - Principal: $500,000
  - Counterparty: Juvenescence Limited
  - Maturity: February 14, 2024
  - Event: incurrence
  source text: On May 19, 2023, AgeX drew $500,000 of its credit available under the Allonge and Second Amendment to Amended and Restated Convertible Promissory Note (“Secured Note”) dated May 9, 2023 with Juvenescence Limited (“Juvenescence”). The Repayment Date on which the outstanding principal balance of the Secured Note will become due and payable shall be February 14, 2024.
  evidence_url: https://www.sec.gov/Archives/edgar/data/1708599/000149315223018725/0001493152-23-018725-index.htm
- Listing & Compliance Notices
  Serina Therapeutics, Inc. received a nyse_american delisting notice notice regarding stockholders equity (rules 1003(a)(i), 1003(a)(ii), 1003(a)(iii)).
  - Exchange: nyse american
  - Notice: delisting notice
  - Deficiency: stockholders equity
  - Rules: 1003(a)(i), 1003(a)(ii), 1003(a)(iii)
  source text: May 17, 2023, AgeX received a notice from the staff of the NYSE American (the “Exchange”) indicating that they intend to commence proceedings to delist AgeX common stock from the Exchange based upon AgeX’s non-compliance with the stockholders’ equity requirements set forth in Sections 1003(a)(i), (ii) and (iii) of the Exchange’s Company Guide by the end of a compliance plan period that expired on May 17, 2023. Specifically, AgeX does not meet the continued listing standards because it has stockholders equity of less than (A) $2,000,000 and has incurred losses from continuing operations and/or
  evidence_url: https://www.sec.gov/Archives/edgar/data/1708599/000149315223018725/0001493152-23-018725-index.htm

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