---
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"
generated_at: "2026-05-16T10:09:44.228647+00:00"
event_type: "regulatory"
sentiment: "negative"
materiality_score: 0.75
calibrated_materiality_score: 0.75
confidence: "high"
source: SEC EDGAR
---

# Serina Therapeutics receives NYSE American deficiency notice for stockholders' equity below $2M

## Summary
- 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.

## SEC filing metadata
- 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
- event_type: regulatory
- sentiment: negative
- materiality_score: 0.75
- calibrated_materiality_score: 0.75
- confidence: high
- sec_items: 3.01, 7.01, 9.01
- 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

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001708599-26-000003
- JSON: https://secwatch.observer/filing/0001708599-26-000003.json
- Plain text: https://secwatch.observer/filing/0001708599-26-000003.txt

## Key facts
- Listing & Compliance Notices
  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
  source text: 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_url: https://www.sec.gov/Archives/edgar/data/1708599/000170859926000003/0001708599-26-000003-index.htm

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