secwatch.observer — SEC 8-K summary
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Issuer:     Serina Therapeutics, Inc. (SER)
CIK:        0001708599
Form:       8-K
Filed at:   2026-01-15T23:59:59+00:00
Accession:  0001708599-26-000003
Event type: regulatory
Sentiment:  negative
Materiality: 0.75
Item codes: 3.01, 7.01, 9.01
LLM model:  deepseek-v4-flash:cloud@v2

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

Source:
  EDGAR index:    https://www.sec.gov/Archives/edgar/data/1708599/000170859926000003/0001708599-26-000003-index.htm
  Primary doc:    https://www.sec.gov/Archives/edgar/data/1708599/000170859926000003/ser-20260109.htm
  HTML page:      https://secwatch.observer/filing/0001708599-26-000003

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