# EDGAR Filing Document

**Accession Number:** 0001708599
**File Stem:** 0001708599-26-000022
**Filing Date:** 2026-3
**Character Count:** 26523
**Document Hash:** d06ee54f63607518aeb07606baf8330a
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001708599-26-000022.hdr.sgml**: 20260327

**ACCESSION NUMBER**: 0001708599-26-000022

**CONFORMED SUBMISSION TYPE**: 10-K/A

**PUBLIC DOCUMENT COUNT**: 15

**CONFORMED PERIOD OF REPORT**: 20251231

**FILED AS OF DATE**: 20260327

**DATE AS OF CHANGE**: 20260327

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Serina Therapeutics, Inc.
- **CENTRAL INDEX KEY:** 0001708599
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 821436829
- **STATE OF INCORPORATION:** AL
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 10-K/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38519
- **FILM NUMBER:** 26805200

**BUSINESS ADDRESS:**
- **STREET 1:** 601 GENOME WAY
- **STREET 2:** SUITE 2001
- **CITY:** HUNTSVILLE
- **STATE:** AL
- **ZIP:** 35806
- **BUSINESS PHONE:** (256) 327-9630

**MAIL ADDRESS:**
- **STREET 1:** 601 GENOME WAY
- **STREET 2:** SUITE 2001
- **CITY:** HUNTSVILLE
- **STATE:** AL
- **ZIP:** 35806

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** AgeX Therapeutics, Inc.
- **DATE OF NAME CHANGE:** 20170606

?xml version='1.0' encoding='ASCII'? ser-20251231

Park

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**FORM 10-K/A**

**(Amendment No. 1)**

⌧ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d)

OF THE SECURITIES EXCHANGE ACT OF 1934

For the fiscal year ended December 31, 2025

OR

□ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d)

OF THE SECURITIES EXCHANGE ACT OF 1934

For the transition period from ___________ to ___________

Commission file number 1-38519

**Serina Therapeutics, Inc.**

(Exact name of registrant as specified in its charter)

---

| | |
|:---|:---|
| **Delaware** | **82-1436829** |
| (State or other jurisdiction of<br>incorporation or organization) | (I.R.S. Employer<br>Identification No.) |

---

**601 Genome Way, Suite 2001**

**Huntsville, Alabama 35806**

(Address of principal executive offices) (Zip Code)

Registrant's telephone number, including area code: **(256) 327-9630**

Securities registered pursuant to Section 12(b) of the Act:

---

| | | |
|:---|:---|:---|
| **Title of each class** | **Trading Symbol** | **Name of exchange on which registered** |
| Common Stock, par value $0.0001 per share | SER | NYSE American |

---

Securities registered pursuant to Section 12(g) of the Act: **None**

Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes □ No ⌧

Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act. Yes □ No ⌧

Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes ⌧ No □

Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§ 232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). Yes ⌧ No □

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of "large accelerated filer," "accelerated filer," "smaller reporting company," and "emerging growth company" in Rule 12b-2 of the Exchange Act.

---

| | |
|:---|:---|
| Large accelerated filer □ | Accelerated filer □ |
| Non-accelerated filer ⌧ | Smaller reporting company ⌧ |
| | Emerging growth company □ |

---

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided to Section 13(a) of the Exchange Act. □

Indicate by check mark whether the registrant has filed a report on and attestation to its management's assessment of the effectiveness of internal control over financial reporting under Section 404(b) of the Sarbanes-Oxley Act (15 U.S.C. 7262(b)) by the registered public accounting firm that prepared or issued its audit report. □

If securities are registered pursuant to Section 12(b) of the Act, indicate by check mark whether the financial statements of the registrant included in the filing reflect the correction of an error to previously issued financial statements. □

Indicate by check mark whether any of those error corrections are restatements that required a recovery analysis of incentive-based compensation received by any of the registrant's executive officers during the relevant recovery period pursuant to §240.10D-1(b). □

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act): Yes □ No ⌧

The aggregate market value of the voting common stock held by non-affiliates of the registrant, computed based on the closing price for such stock as reported on the NYSE American on June 30, 2025 (the last trading day of the registrant's second fiscal quarter of 2025) was $21.8 million.

As of March 18, 2026, there were outstanding 12,314,159 shares of common stock, par value $0.0001 per share.

**DOCUMENTS INCORPORATED BY REFERENCE**

Portions of the registrant's definitive proxy statement to be filed for the registrant's 2026 Annual Meeting of Stockholders are incorporated by reference into Part III hereof. Such proxy statement will be filed with the Securities and Exchange Commission within 120 days of the end of the fiscal year covered by this Annual Report on Form 10-K.

**EXPLANATORY NOTE**

This Amendment No. 1 on Form 10-K/A (this "Amendment") amends the Annual Report on Form 10-K of Serina Therapeutics, Inc. (the "Company") for the fiscal year ended December 31, 2025, as filed with the Securities and Exchange Commission (the "SEC") on March 25, 2026 (the "Original 10-K"). Exhibit 23.1, Consent of Independent Registered Public Accounting Firm, with respect to the calendar year ended December 31, 2025, to the Original 10-K (the "Auditor Consent") inadvertently contained an incorrect version of the Auditor Consent. This Amendment is being filed to include the correct version of the Auditor Consent.

Accordingly, Exhibit 23.1 in Part IV, Item 15 of the Original 10-K has been amended and restated in its entirety to reflect this change. The Company is also providing new certifications from its principal executive officer and principal financial officer as required by Rule 12b-15 under the Securities Exchange Act of 1934, as amended.

------

Except as described above, The Company has not modified or updated any disclosures contained in the Original 10-K. Accordingly, this Amendment does not reflect events occurring after the date of filing of the Original 10-K and therefore continues to speak only as of the date of the Original 10-K.

**PART IV**

**Item 15. Exhibits and Financial Statement Schedules**

The following exhibits are filed herewith or incorporated by reference:

---

| | | | | | |
|:---|:---|:---|:---|:---|:---|
| | | **Incorporation By Reference** | **Incorporation By Reference** | **Incorporation By Reference** | **Incorporation By Reference** |
|<br>**Exhibit<br>Number** |<br>**Description of Document** | **Form** | **SEC File<br>No.** | **Exhibit** | **Filing Date** |
| 2.1† | <u>[Agreement and Plan of Merger and Reorganization, dated August 29, 2023, by and among AgeX Therapeutics, Inc., Canaria Transaction Corporation and Serina Therapeutics, Inc](https://www.sec.gov/Archives/edgar/data/1708599/000149315223030618/ex2-1.htm)</u>. | 8-K | 001-38519 | 2.1 | 8/30/2023 |
| 3.1 | <u>[Amended and Restated Certificate of Incorporation of Serina Therapeutics, Inc.](https://www.sec.gov/Archives/edgar/data/1708599/000149315224006667/form424b3.htm#Hp_002)</u> | 8-K | 001-38519 | 3.1 | 4/1/2024 |
| 3.2 | <u>[Amended and Restated Bylaws of Serina Therapeutics, Inc., as amended for SEC filing purposes only](https://www.sec.gov/Archives/edgar/data/1708599/000170859926000016/ex32-serinaxrestatedamende.htm)</u> | 10-K | 001-38519 | 3.2 | 3/25/2026 |
| 3.3 | <u>[Certificate of Designations, dated April 10, 2025.](https://www.sec.gov/Archives/edgar/data/1708599/000170859925000042/ex31_certificateofdesignat.htm)</u> | 8-K | 001-38519 | 3.1 | 4/14/2025 |
| 3.4 | <u>[Certificate of Correction, dated May 22, 2025.](https://www.sec.gov/Archives/edgar/data/1708599/000170859925000058/ex31-serinaxcertificateofc.htm)</u> | 8-K | 001-38519 | 3.1 | 5/22/2025 |
| 4.1 | <u>[Form of Warrant included in Warrant Agreement dated February 14, 2022.](https://www.sec.gov/Archives/edgar/data/1708599/000149315222004670/ex4-1.htm)</u> | 8-K | 001-38519 | 4.1 | 2/15/2022 |
| 4.2 | <u>[New Form of Warrant Agreement dated January 31, 2025.](https://www.sec.gov/Archives/edgar/data/1708599/000170859926000016/ex42-serinaxnewincentivewa.htm)</u> | 10-K | 001-38519 | 4.2 | 3/25/2026 |
| 4.3 | <u>[Form of Warrant Agreement](https://www.sec.gov/Archives/edgar/data/1708599/000170859925000110/exhibit41formofwarrantagre.htm)</u> | 8-K | 001-38519 | 4.1 | 9/15/2025 |
| 10.1‡ | <u>[Amendment to AgeX Therapeutics, Inc. 2017 Equity Incentive Plan](https://www.sec.gov/Archives/edgar/data/1708599/000149315222035162/ex10-1.htm)</u> | 8-K | 001-38519 | 10.1 | 12/12/2022 |
| 10.42‡ | <u>[Form of Indemnification Agreement for Officers and Directors](https://www.sec.gov/Archives/edgar/data/1708599/000149315224012530/ex10-4.htm)</u> | 8-K | 001-38519 | 10.4 | 4/1/2024 |
| 10.3‡ | <u>[Director Compensation Policy](https://www.sec.gov/Archives/edgar/data/1708599/000149315224012530/ex10-5.htm)</u> | 8-K | 001-38519 | 10.5 | 4/1/2024 |
| 10.4‡ | <u>[AgeX Therapeutics, Inc. 2017 Equity Incentive Plan.](https://www.sec.gov/Archives/edgar/data/1708599/000149315219001184/ex99-1.htm)</u> | S-8 | 333-229432 | 99.1 | 1/30/2019 |
| 10.5‡ | <u>[Form of AgeX Therapeutics, Inc. Employee Stock Option Agreement.](https://www.sec.gov/Archives/edgar/data/1708599/000149315219001184/ex99-2.htm)</u> | S-8 | 333-229432 | 99.2 | 1/30/2019 |
| 10.6‡ | <u>[Form of AgeX Therapeutics, Inc. Non-Employee Director Stock Option Agreement.](https://www.sec.gov/Archives/edgar/data/1708599/000149315219001184/ex99-3.htm)</u> | S-8 | 333-229432 | 99.3 | 1/30/2019 |
| 10.7‡ | <u>[Form of AgeX Therapeutics, Inc. Restricted Stock Agreement.](https://www.sec.gov/Archives/edgar/data/1708599/000149315219001184/ex99-4.htm)</u> | S-8 | 333-229432 | 99.4 | 1/30/2019 |

---

------

---

| | | | | | |
|:---|:---|:---|:---|:---|:---|
| 10.8‡ | <u>[Form of AgeX Therapeutics, Inc. Restricted Stock Unit Agreement.](https://www.sec.gov/Archives/edgar/data/1708599/000149315219001184/ex99-5.htm)</u> | S-8 | 333-229432 | 99.5 | 1/30/2019 |
| 10.9‡ | <u>[Amendment to AgeX Therapeutics, Inc. 2017 Equity Incentive Plan.](https://www.sec.gov/Archives/edgar/data/1708599/000149315222000303/ex99-1.htm)</u> | S-8 | 333-261997 | 99.1 | 1/4/2022 |
| 10.10‡ | <u>[Serina Therapeutics Inc. 2024 Equity Incentive Plan.](https://www.sec.gov/Archives/edgar/data/1708599/000149315224006667/form424b3.htm#Hp_003)</u> | 8-K | 001-38519 | 10.7 | 4/1/2024 |
| 10.11‡ | <u>[Form of Stock Option Agreement](https://www.sec.gov/Archives/edgar/data/1708599/000149315224012530/ex10-8.htm)</u> | 8-K | 001-38519 | 10.8 | 4/1/2024 |
| 10.12‡ | <u>[Executive Chairman Agreement, dated as of April 12, 2024, by and between Serina Therapeutics, Inc. and Balkrishan "Simba" Gill.](https://www.sec.gov/Archives/edgar/data/1708599/000149315224015037/ex10-1.htm)</u> | 8-K | 001-38519 | 10.1 | 4/17/2024 |
| 10.13‡ | <u>[Employment Agreement, effective as of September 9, 2024, among Serina Therapeutics, Inc., Serina Therapeutics (AL), Inc. and Steve Ledger.](https://www.sec.gov/Archives/edgar/data/1708599/000149315224036080/ex10-1.htm)</u> | 8-K | 001-38519 | 10.1 | 9/12/2024 |
| 10.14‡ | <u>[Employment Agreement, dated as of July 15, 2024, by and between Serina Therapeutics, Inc. and Srini Tenjarla.](https://www.sec.gov/Archives/edgar/data/1708599/000170859924000026/serinaq3ex102xemploymentag.htm)</u> | 10-Q | 001-38519 | 10.2 | 11/12/2024 |
| 10.15‡ | <u>[Confidential Consulting Agreement, dated as of May 31, 2024, by and between Serina Therapeutics, Inc. and FLG Partners, LLC](https://www.sec.gov/Archives/edgar/data/1708599/000170859924000026/serinaq3ex103xflgconsultin.htm)</u> | 10-Q | 001-38519 | 10.3 | 11/12/2024 |
| 10.16 | <u>[Convertible Note, dated as of September 9, 2025, between Serina Therapeutics, Inc. and Gregory Bailey](https://www.sec.gov/Archives/edgar/data/1708599/000170859925000110/exhibit101convertiblenotev0.htm)</u>. | 8-K | 001-38519 | 10.1 | 9/15/2025 |
| 16.1 | <u>[Letter of WithumSmith+Brown, PC to the Securities and Exchange Commission, dated May 3, 2024](https://www.sec.gov/Archives/edgar/data/1708599/000149315224017731/ex16-1.htm)</u> | 8-K | 001-38519 | 16.1 | 5/3/2024 |
| 19.1 | <u>[Serina Therapeutics, Inc. Insider Trading Policy](https://www.sec.gov/Archives/edgar/data/1708599/000170859925000027/serina-insidertradingpolic.htm)</u> | 10-K | 001-38519 | 19.1 | 3/24/2025 |
| 21.1 | <u>[List of Subsidiaries](https://www.sec.gov/Archives/edgar/data/1708599/000170859926000016/ex211_serinalistofsubsidia.htm)</u> | 10-K | 001-38519 | 21.1 | 3/25/2026 |
| 23.1\* | <u>[Consent of Frazier & Deeter, LLC](ser-10kxfdconsentx20260326.htm)</u> |  |  |  |  |
| 31.1\* | <u>[Rule 13a-14(a)/15d-14(a) Certification of the Chief Executive Officer](ser-10kxa20251231xexx311.htm)</u> |  |  |  |  |
| 31.2\* | <u>[Rule 13a-14(a)/15d-14(a) Certification of the Chief Financial Officer](ser-xaserx20251231xexx312.htm)</u> |  |  |  |  |
| 32\*\* | <u>[Section 1350 Certification](ser-10kxaserx20251231xexx32.htm)</u> |  |  |  |  |
| 97.1 | <u>[Serina Therapeutics, Inc. Clawback Policy](https://www.sec.gov/Archives/edgar/data/1708599/000170859925000027/serinatherapeutics-clawbac.htm)</u> | 10-K | 001-38519 | 19.1 | 3/24/2025 |
| 101.INS\* | Inline XBRL Instance Document (the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document) |  |  |  |  |
| 101.SCH\* | Inline XBRL Taxonomy Extension Schema |  |  |  |  |

---

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| | |
|:---|:---|
| 101.CAL\* | Inline XBRL Taxonomy Extension Calculation Linkbase |
| 101.DEF\* | Inline XBRL Taxonomy Extension Definition Linkbase |
| 101.LAB\* | Inline XBRL Taxonomy Extension Label Linkbase |
| 101.PRE\* | Inline XBRL Taxonomy Extension Presentation Linkbase |
| 104 | Cover Page Interactive Data File (formatted as inline XBRL and contained in Exhibit 101) |

---

_______________________________________________________________

\*Filed herewith.

\*\*Furnished herewith.

#Confidential treatment has been granted with respect to portions of this exhibit (indicated by asterisks) and those portions have been separately filed by Lineage Cell Therapeutics, Inc. with the Securities and Exchange Commission.

†Certain schedules and exhibits to this agreement have been omitted in accordance with Item 601(b)(2) of Regulation S-K. A copy of any omitted schedule and/or exhibit will be furnished to the Securities and Exchange Commission on request.

‡Management contract or compensatory plan.

**Item 16. Form 10-K Summary**

None.

------

**SIGNATURES**

Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

Date: March 27, 2026

---

| | |
|:---|:---|
| SERINA THERAPEUTICS, INC. | SERINA THERAPEUTICS, INC. |
| By: | */s/ Steve Ledger* |
|  | Steve Ledger<br>Chief Executive Officer |

---

---

| | | |
|:---|:---|:---|
| Signature | Title | Date |
| */s/ Balkrishan (Simba) Gill* | Executive Chairman of the Board of Directors | March 27, 2026 |
| Balkrishan (Simba) Gill, Ph.D |  |  |
| */s/ Steve Ledger* | Chief Executive Officer and Director | March 27, 2026 |
| Steve Ledger | *(Principal Executive Officer)* |  |
| */s/ Gregory S. Curhan* | Chief Financial Officer | March 27, 2026 |
| Gregory S. Curhan | *(Principal Financial and Accounting Officer)* |  |
| */s/ Gregory H. Bailey* | Director | March 27, 2026 |
| Gregory H. Bailey, M.D. |  |  |
| */s/ Stephen Brannan* | Director | March 27, 2026 |
| Stephen Brannan, M.D. |  |  |
| */s/ Richard Marshall* | Director | March 27, 2026 |
| Richard Marshall, CBE, M.D., Ph.D. |  |  |
| */s/ Jay Venkatesan* | Director | March 27, 2026 |
| Jay Venkatesan, M.D. |  |  |
| */s/ Karen J. Wilson* | Director | March 27, 2026 |
| Karen J. Wilson |  |  |

---

## Exhibit 23.1

**CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM**

We hereby consent to the incorporation by reference in the Registration Statements on Forms S-3 (No. 333-286340, 333-286620, and 333-293107) and Forms S-8 (No. 333-280250, 333-281769, and 333-286343) of our report dated March 25, 2026, with respect to the consolidated financial statements of Serina Therapeutics, Inc. (the "Company") as of and for the years ended December 31, 2025 and 2024, included in this Annual Report on Form 10-K.

We also hereby consent to the reference to our firm under the caption "Experts" in the Registration Statements on Forms S-3 (No. 333-286340, 333-286620, and 333-293107).

*/s/ Frazier & Deeter, LLC*

Tampa, Florida

March 25, 2026

## Exhibit 31.1

**Exhibit 31.1**

**CERTIFICATION PURSUANT TO RULE 13a-14(a)/15d-14(a) OF THE SECURITIES EXCHANGE ACT OF 1934, AS ADOPTED PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002**

I, Steve Ledger, certify that:

1. I have reviewed this Amendment No.1 to the annual report on Form 10-K of Serina Therapeutics, Inc.;

2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;

3. Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this report;

4. The registrant's other certifying officer and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rule 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a-15(f) and 15d-15(f)) for the registrant and have:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(a)Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this periodic report is being prepared;

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(b)Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(c)Evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(d)Disclosed in this report any change in the registrant's internal control over financial reporting that occurred during the registrant's most recent fiscal quarter (the registrant's fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrant's internal control over financial reporting; and

5. The registrant's other certifying officer and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant's auditors and the audit committee of registrant's board of directors (or persons performing the equivalent functions):

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(a)All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize and report financial information; and

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(b)Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting.

------

---

| |
|:---|
| Date: March 27, 2026 |
| */s/ Steve Ledger* |
| Steve Ledger<br>Chief Executive Officer |

---

## Exhibit 31.2

**Exhibit 31.2**

**CERTIFICATION PURSUANT TO RULE 13a-14(a)/15d-14(a) OF THE SECURITIES EXCHANGE ACT OF 1934, AS ADOPTED PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002**

I, Gregory S. Curhan, certify that:

1. I have reviewed this Amendment No.1 to annual report on Form 10-K of Serina Therapeutics, Inc.;

2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;

3. Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this report;

4. The registrant's other certifying officer and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rule 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a-15(f) and 15d-15(f)) for the registrant and have:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(a)Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this periodic report is being prepared;

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(b)Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(c)Evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(d)Disclosed in this report any change in the registrant's internal control over financial reporting that occurred during the registrant's most recent fiscal quarter (the registrant's fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrant's internal control over financial reporting; and

5. The registrant's other certifying officer and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant's auditors and the audit committee of registrant's board of directors (or persons performing the equivalent functions):

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(a)All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize and report financial information; and

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(b)Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting.

------

---

| |
|:---|
| Date: March 27, 2026 |
| */s/ Gregory S. Curhan* |
| Gregory S. Curhan<br>Chief Financial Officer |

---

## Ex-32

**Exhibit 32**

**CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO**

**SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002**

In connection with Amendment No.1 to the Annual Report on Form 10-K of Serina Therapeutics, Inc. (the "Company") for the year ended December 31, 2025, as filed with the Securities and Exchange Commission on the date hereof (the "Report"), we, Steve Ledger, Chief Executive Officer, and Gregory S. Curhan, Chief Financial Officer, of the Company, certify pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, that to the best of our respective knowledge:

1. The Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934, as amended; and

2. The information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Company.

Date: March 27, 2026

---

| |
|:---|
| */s/ Steve Ledger* |
| Steve Ledger<br>Chief Executive Officer |
| */s/ Gregory S. Curhan* |
| Gregory S. Curhan<br>Chief Financial Officer |

---

<br>