---
schema_version: "secwatch.filing_event.v1"
accession: "0001708599-25-000042"
form_type: "8-K"
ticker: "SER"
cik: "0001708599"
company_name: "Serina Therapeutics, Inc."
filed_at: "2025-04-14T23:59:59+00:00"
generated_at: "2026-05-23T15:32:47.112245+00:00"
event_type: "other_material"
sentiment: "neutral"
materiality_score: 0.6
calibrated_materiality_score: 0.6
confidence: "high"
source: SEC EDGAR
---

# Serina Therapeutics raises $5M via convertible preferred stock for Parkinson's drug SER-252

## Summary
- Issued 962,250 shares of Series A Convertible Preferred at $5.18/share for ~$5M gross proceeds.
- Preferred stock carries 8% cumulative annual dividend, paid in kind; convertible at $5.18 per common share.
- Proceeds to support SER-252 (POZ-apomorphine) Phase 1 trial initiation in Q4 2025 for advanced Parkinson's.
- Financing from strategic shareholders; conversion triggers include stock price doubling or $20M+ equity raise.

## SEC filing metadata
- accession: 0001708599-25-000042
- form_type: 8-K
- ticker: SER
- cik: 0001708599
- company_name: Serina Therapeutics, Inc.
- filed_at: 2025-04-14T23:59:59+00:00
- event_type: other_material
- sentiment: neutral
- materiality_score: 0.6
- calibrated_materiality_score: 0.6
- confidence: high
- sec_items: 1.01, 3.02, 3.03, 5.03, 7.01, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1708599/000170859925000042/0001708599-25-000042-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1708599/000170859925000042/ser-20250408.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001708599-25-000042
- JSON: https://secwatch.observer/filing/0001708599-25-000042.json
- Plain text: https://secwatch.observer/filing/0001708599-25-000042.txt

## Key facts
- Governance Changes
  Serina Therapeutics, Inc.: Filed Certificate of Designations for Series A Convertible Preferred Stock, establishing rights, preferences, and limitations (effective 2025-04-10).
  - Change: charter amendment
  - Effective: 2025-04-10
  source text: On April 10, 2025, the Company filed a Certificate of Designations of Preferences, Rights and Limitations of Series A Convertible Preferred Stock (the "Certificate of Designations") with the Secretary of State of the State of Delaware, which became effective upon filing.
  evidence_url: https://www.sec.gov/Archives/edgar/data/1708599/000170859925000042/0001708599-25-000042-index.htm

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