Serina Therapeutics, Inc.

SER·AMEX·$1.92Share Price as of 11/2·$21MMarket Cap as of 11/2

Financials

10-QQ2 ended 06/30/2608/13/26 10-QQ1 ended 03/31/2605/14/26 10-K/AFY 202503/27/26 10-KFY 202503/25/26 10-QQ3 ended 09/30/2511/13/25

Disclosures

8-KCurrent report10/09/26 8-KCurrent report09/09/26 8-KCurrent report08/27/26 8-KCurrent report08/13/26 8-KCurrent report07/23/26

Prospectuses and Registrations

S-1Registration statement (IPO)08/24/26 S-8Registration of securities for employees08/13/26 S-3Shelf registration05/22/26 S-8Registration of securities for employees03/25/26 S-3Shelf registration01/30/26

Proxies

DEFA14AAdditional proxy materials04/28/26 DEF 14ADefinitive proxy04/27/26 PRE 14APreliminary proxy04/17/26 DEFR14ADefinitive proxy (revised)10/27/25 DEF 14ADefinitive proxy09/26/25

Ownership

Form 3Initial insider ownership07/23/26 Form 4Insider transaction07/23/26 SC 13D/ABeneficial ownership (amended)07/22/26 Form 4Insider transaction07/09/26 Form 4Insider transaction06/22/26

Other

EFFECTRequest for effectiveness08/31/26 EFFECTRequest for effectiveness06/03/26 CORRESPCorrespondence with the SEC06/01/26 UPLOADLetter from the SEC05/29/26 EFFECTRequest for effectiveness02/13/26