Serina Therapeutics, Inc. (SER): Nasdaq/NYSE listing notice — Serina Therapeutics receives NYSE American deficiency notice for stockholders' equity below $2M

Serina Therapeutics, Inc.

Stockholders' equity was $1.6M as of Sept 30, 2025, below $2M, $4M, and $6M thresholds.
Company has until Feb 8, 2026 to submit a plan to regain compliance by July 9, 2027.
Non-compliance triggers NYSE American Section 1009; delisting proceedings may start if plan rejected.
Company intends to submit a plan but cannot assure compliance during the 18-month cure period.

Key facts

Extracted from this filing and checked against the source text.

Listing & Compliance Notices SEC 8-K Item 3.01 confidence 0.9

Serina Therapeutics, Inc. received a nyse_american deficiency notice notice regarding stockholders equity (rules 1003(a)(i), 1003(a)(ii), 1003(a)(iii), 1009).

Exchange: nyse american
Notice: deficiency notice
Deficiency: stockholders equity
Rules: 1003(a)(i), 1003(a)(ii), 1003(a)(iii), 1009

Exact text from the filing

January 9, 2026, Serina Therapeutics, Inc. (the “Company”) received a notification (the “Letter”) from The NYSE American LLC (the “NYSE American”) stating that the Company is not in compliance with the minimum stockholders’ equity requirements of Sections 1003(a)(i), 1003(a)(ii), and 1003(a)(iii) of the NYSE American Company Guide (the “Company Guide”) requiring stockholders’ equity of (i) $2.0 million or more if the Company has reported losses from continuing operations and/or net losses in two of its three most recent fiscal years, (ii) $4.0 million or more if the Company has reported losses

View on SEC.gov

18 listing & compliance notices filed in the last 30 days. Browse all listing & compliance notices →

Serina Therapeutics, Inc. filing history →

Source: SEC EDGAR

accession 0001708599-26-000003

view filing index on sec.gov

view primary document

Machine-readable: JSON · Markdown · Plain text

This headline and bullets were generated automatically by deepseek-v4-flash:cloud@v2 from the public filing. Read the source on SEC.gov before relying on any specific claim. Not investment advice. See methodology for how this pipeline works.