---
schema_version: "secwatch.filing_event.v1"
accession: "0001708599-26-000051"
form_type: "8-K"
ticker: "SER"
cik: "0001708599"
company_name: "Serina Therapeutics, Inc."
filed_at: "2026-08-26T22:24:21+00:00"
generated_at: "2026-08-27T10:05:24.187213+00:00"
event_type: "other_material"
sentiment: "neutral"
materiality_score: 0.6
calibrated_materiality_score: 0.6
confidence: "high"
source: SEC EDGAR
---

# Serina enters $25M equity purchase agreement with Roth Principal Investments

## Summary
- Up to $25M of new common stock can be sold to Roth Principal over 36 months at 3-7% discount to VWAP.
- Sales are at Serina's sole discretion; no obligation to sell; proceeds for working capital.
- Exchange cap of 5,077,554 shares (19.99% of outstanding) unless price >= $2.7695 or stockholder approval.
- Roth Principal barred from short sales; Serina pays $100K legal fees plus $7.5K/quarter.
- Registration rights agreement filed; Compass Point engaged as qualified independent underwriter.

## SEC filing metadata
- accession: 0001708599-26-000051
- form_type: 8-K
- ticker: SER
- cik: 0001708599
- company_name: Serina Therapeutics, Inc.
- filed_at: 2026-08-26T22:24:21+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, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1708599/000170859926000051/0001708599-26-000051-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1708599/000170859926000051/ser-20260821.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001708599-26-000051
- JSON: https://secwatch.observer/filing/0001708599-26-000051.json
- Plain text: https://secwatch.observer/filing/0001708599-26-000051.txt

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