{"schema_version":"secwatch.filing_event.v1","accession":"0001708599-26-000003","form_type":"8-K","ticker":"SER","cik":"0001708599","company_name":"Serina Therapeutics, Inc.","filed_at":"2026-01-15T23:59:59+00:00","discovered_at":"2026-05-14T18:02:35.961302+00:00","generated_at":"2026-05-16T10:09:44.228647+00:00","sec_items":["3.01","7.01","9.01"],"event_type":"regulatory","sentiment":"negative","materiality_score":0.75,"calibrated_materiality_score":0.75,"confidence":"high","headline":"Serina Therapeutics receives NYSE American deficiency notice for stockholders' equity below $2M","bullets":["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."],"urls":{"canonical":"https://secwatch.observer/filing/0001708599-26-000003","json":"https://secwatch.observer/filing/0001708599-26-000003.json","markdown":"https://secwatch.observer/filing/0001708599-26-000003.md","text":"https://secwatch.observer/filing/0001708599-26-000003.txt","edgar_index":"https://www.sec.gov/Archives/edgar/data/1708599/000170859926000003/0001708599-26-000003-index.htm","edgar_primary_document":"https://www.sec.gov/Archives/edgar/data/1708599/000170859926000003/ser-20260109.htm"},"model":{"generated_by":"deepseek-v4-flash:cloud@v2","generated_at":"2026-05-16T10:09:44.228647+00:00"},"review":{"review_status":"machine_generated","human_reviewed":false,"corrected":false,"correction_note":null,"correction_timestamp":null,"superseded_by":null,"related_filings":[]},"source_grounded_claims":[{"claim_id":"385fb544c2d65205e22969cd1979fd6ef6f14942","claim":"Serina Therapeutics, Inc. received a nyse_american deficiency notice notice regarding stockholders equity (rules 1003(a)(i), 1003(a)(ii), 1003(a)(iii), 1009).","evidence_excerpt":"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","evidence_source":"SEC 8-K Item 3.01","evidence_url":"https://www.sec.gov/Archives/edgar/data/1708599/000170859926000003/0001708599-26-000003-index.htm","confidence":0.9,"family_label":"Listing & Compliance Notices","details":[{"label":"Exchange","value":"nyse american"},{"label":"Notice","value":"deficiency notice"},{"label":"Deficiency","value":"stockholders equity"},{"label":"Rules","value":"1003(a)(i), 1003(a)(ii), 1003(a)(iii), 1009"}],"fact_type":"exchange_compliance_notice"}],"license":"Source filings: public domain (SEC EDGAR). Summaries (headline + bullets): CC-BY-4.0; attribute https://secwatch.observer"}