--- schema_version: "secwatch.filing_event.v1" accession: "0001493152-24-012530" form_type: "8-K" ticker: "SER" cik: "0001708599" company_name: "Serina Therapeutics, Inc." filed_at: "2024-04-01T23:59:59+00:00" generated_at: "2026-06-04T04:44:53.698525+00:00" event_type: "m_and_a" sentiment: "neutral" materiality_score: 1.0 calibrated_materiality_score: 1.0 confidence: "high" source: SEC EDGAR --- # AgeX completes reverse merger with Serina; becomes Serina Therapeutics, trades as SER ## Summary - Merger closed March 26, 2024; Serina shares converted at 0.97682654 per AgeX share; 5,913,277 shares issued to Serina stockholders. - Post-merger ~10.1M shares outstanding (fully diluted excl. warrants); Serina equityholders own ~75%, AgeX legacy ~25%. - AgeX changed name to Serina Therapeutics, Inc.; ticker changes from AGE to SER, new CUSIP 81751A108. - Board reconstituted: J. Milton Harris (Chair), Steven Ledger (Interim CEO & Dir), Andrea Park (Interim CFO), Randall Moreadith (CSO). - AgeX drew additional $2.4M under Juvenescence convertible note; transferred notes and certain assets to UniverXome in exchange for release. ## SEC filing metadata - accession: 0001493152-24-012530 - form_type: 8-K - ticker: SER - cik: 0001708599 - company_name: Serina Therapeutics, Inc. - filed_at: 2024-04-01T23:59:59+00:00 - event_type: m_and_a - sentiment: neutral - materiality_score: 1.0 - calibrated_materiality_score: 1.0 - confidence: high - sec_items: 2.01, 1.01, 9.01, 2.03, 3.03, 5.01, 5.02, 5.03, 8.01 - EDGAR index: https://www.sec.gov/Archives/edgar/data/1708599/000149315224012530/0001493152-24-012530-index.htm - EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1708599/000149315224012530/form8-k.htm ## Machine-readable alternates - HTML: https://secwatch.observer/filing/0001493152-24-012530 - JSON: https://secwatch.observer/filing/0001493152-24-012530.json - Plain text: https://secwatch.observer/filing/0001493152-24-012530.txt ## Key facts - Debt Financings Serina Therapeutics, Inc. incurred convertible notes of an additional $2.4 million with Juvenescence Limited. - Instrument: convertible notes - Principal: an additional $2.4 million - Counterparty: Juvenescence Limited - Event: incurrence source text: pursuant to which AgeX drew an additional $2.4 million of its credit available under the 2022 Convertible Note evidence_url: https://www.sec.gov/Archives/edgar/data/1708599/000149315224012530/0001493152-24-012530-index.htm - Executive change Gregory M. Bailey was appointed as Class III Director at Serina Therapeutics, Inc.. - Action: appointed - Role: Class III Director source text: The Company’s board of directors appointed the following members to the Compensation Committee: J. Milton Harris, Ph.D. (Chair), Gregory M. Bailey, M.D., and Steven Mintz. evidence_url: https://www.sec.gov/Archives/edgar/data/1708599/000149315224012530/0001493152-24-012530-index.htm - Executive change J. Milton Harris was appointed as Chairman of the Board at Serina Therapeutics, Inc.. - Action: appointed - Role: Chairman of the Board source text: Dr. Harris was appointed Chairman of the Company’s board of directors. evidence_url: https://www.sec.gov/Archives/edgar/data/1708599/000149315224012530/0001493152-24-012530-index.htm - Executive change Richard Marshall was appointed as Class III Director at Serina Therapeutics, Inc.. - Action: appointed - Role: Class III Director source text: ey and Dr. Richard Marshall, appointed as Class III directors evidence_url: https://www.sec.gov/Archives/edgar/data/1708599/000149315224012530/0001493152-24-012530-index.htm - Executive change Joanne M. Hackett departed as Interim Chief Executive Officer and Director at Serina Therapeutics, Inc.. - Action: resigned and terminated - Role: Interim Chief Executive Officer and Director source text: both Dr. Joanne M. Hackett and Dr. Jean-Christophe Renondin resigned from AgeX’s board of directors and all respective committee membership of AgeX’s board of directors, effective as of the effective time of the Merger and (ii) Dr. Hackett was terminated as interim CEO of the Company effective as of the effective time of the Merger. evidence_url: https://www.sec.gov/Archives/edgar/data/1708599/000149315224012530/0001493152-24-012530-index.htm - Executive change Jean-Christophe Renondin resigned as Director at Serina Therapeutics, Inc.. - Action: resigned - Role: Director source text: Dr. Jean-Christophe Renondin resigned from AgeX’s board of directors evidence_url: https://www.sec.gov/Archives/edgar/data/1708599/000149315224012530/0001493152-24-012530-index.htm - Governance Changes Serina Therapeutics, Inc.: Name change from AgeX Therapeutics, Inc. to Serina Therapeutics, Inc. via Amended Certificate after Merger (effective 2024-03-26). - Change: charter amendment - Effective: 2024-03-26 source text: Immediately after the consummation of the Merger, on March 26, 2024, AgeX filed the Amended Certificate changing its name from "AgeX Therapeutics, Inc." to "Serina Therapeutics, Inc." evidence_url: https://www.sec.gov/Archives/edgar/data/1708599/000149315224012530/0001493152-24-012530-index.htm - M&A Transactions Serina Therapeutics, Inc. completed an acquisition involving AgeX Therapeutics, Inc. for issuance by AgeX of an aggregate of 5,913,277 shares of AgeX common stock (closed 2024-03-26). - Action: acquisition - Counterparty: AgeX Therapeutics, Inc. - Consideration: issuance by AgeX of an aggregate of 5,913,277 shares of AgeX common stock - Closing: 2024-03-26 source text: arch 26, 2024, the Delaware corporation formerly known as “AgeX Therapeutics, Inc.” completed its previously announced merger transaction in accordance with the terms and conditions of the Agreement and Plan of Merger and Reorganization, dated as of August 29, evidence_url: https://www.sec.gov/Archives/edgar/data/1708599/000149315224012530/0001493152-24-012530-index.htm - Material Agreements Serina Therapeutics, Inc. entered into Merger Agreement with AgeX, Merger Sub (effective 2024-03-26). - Action: entry - Agreement: merger - Counterparty: AgeX, Merger Sub - Effective: 2024-03-26 source text: reviously disclosed, on August 29, 2023, AgeX, Merger Sub and Serina entered into the Merger Agreement. Upon the terms and subject to evidence_url: https://www.sec.gov/Archives/edgar/data/1708599/000149315224012530/0001493152-24-012530-index.htm This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.