# EDGAR Filing Document

**Accession Number:** 0001708599
**File Stem:** 0001493152-23-002757
**Filing Date:** 2023-1
**Character Count:** 6684
**Document Hash:** 12cfe54cafed62a1d840b6b937f8b30e
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001493152-23-002757.hdr.sgml**: 20230127

**ACCESSION NUMBER**: 0001493152-23-002757

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 12

**CONFORMED PERIOD OF REPORT**: 20230125

**ITEM INFORMATION**: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

**ITEM INFORMATION**: Unregistered Sales of Equity Securities

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20230127

**DATE AS OF CHANGE**: 20230127

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** AgeX Therapeutics, Inc.
- **CENTRAL INDEX KEY:** 0001708599
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 821436829
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38519
- **FILM NUMBER:** 23562738

**BUSINESS ADDRESS:**
- **STREET 1:** 1101 MARINA VILLAGE PARKWAY
- **STREET 2:** SUITE 201
- **CITY:** ALAMEDA
- **STATE:** CA
- **ZIP:** 94501
- **BUSINESS PHONE:** 510-671-8370

**MAIL ADDRESS:**
- **STREET 1:** 1101 MARINA VILLAGE PARKWAY
- **STREET 2:** SUITE 201
- **CITY:** ALAMEDA
- **STATE:** CA
- **ZIP:** 94501

?xml version="1.0" encoding="utf-8"?

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**FORM 8-K**

**CURRENT REPORT**

**Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934**

Date of Report (date of earliest event reported): **January 25, 2023**

**AgeX Therapeutics, Inc.**

(Exact name of registrant as specified in its charter)

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| | | |
|:---|:---|:---|
| **Delaware** | **1-38519** | **82-1436829** |
| (State or other jurisdiction | (Commission | (IRS Employer |
| of incorporation) | File Number) | Identification No.) |

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**1101 Marina Village Parkway**

**Suite 201**

**Alameda, California 94501**

(Address of principal executive offices)

**(510) 671-8370**

(Registrant's telephone number, including area code)

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

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

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Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

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 pursuant to Section 13(a) of the Exchange Act. ☒

**Forward-Looking Statements**

*Any statements that are not historical fact (including, but not limited to statements that contain words such as "may," "will," "believes," "plans," "intends," "anticipates," "expects," "estimates") should also be considered to be forward-looking statements. Additional factors that could cause actual results to differ materially from the results anticipated in these forward-looking statements are contained in AgeX's periodic reports filed with the Securities and Exchange Commission under the heading "Risk Factors" and other filings that AgeX may make with the SEC. Undue reliance should not be placed on these forward-looking statements which speak only as of the date they are made, and the facts and assumptions underlying these statements may change. Except as required by law, AgeX disclaims any intent or obligation to update these forward-looking statements.*

*References in this Report to "AgeX," "we" or "us" refer to AgeX Therapeutics, Inc.*

*The description or discussion in this Current Report on Form 8-K (the "Report") of any contract or agreement is a summary only and is qualified in all respects by reference to the full text of the applicable contract or agreement.*

**Item 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant**

On January 25, 2023, AgeX borrowed the remaining $500,000 under the Secured Convertible Promissory Note (the "Secured Note") dated as of February 14, 2022 with Juvenescence Limited ("Juvenescence"). AgeX has now borrowed the maximum principal amount of $13,160,000 under the Secured Note line of credit. The outstanding principal balance of the Secured Note will become due and payable on February 14, 2024 (the "Repayment Date").

In lieu of accrued interest, AgeX will pay Juvenescence an Origination Fee in an amount equal to 4% of the amount each draw of loan funds, which will accrue as each draw is funded, and an additional 4% of all the total amount of funds drawn that will accrue following the end of the 12 month period during which funds may be drawn from the line of credit. The Origination Fee will become due and payable on the Repayment Date or in a pro rata amount with any prepayment, in whole or in part of the outstanding principal balance of the Secured Note.

**Item 3.02 Unregistered Sales of Equity Securities.**

In connection with AgeX's January 25, 2023 draw of loan funds under the Secured Note (as defined in Item 2.03 of this Report), AgeX will issue to Juvenescence upon approval for listing by the NYSE American warrants to purchase 340,136 shares of AgeX common stock at an exercise price of $0.735 per share.

**Item 9.01 - Financial Statements and Exhibits.**

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| | |
|:---|:---|
| **Exhibit Number** | **Description** |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |

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**SIGNATURES**

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

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| | | |
|:---|:---|:---|
|  | AGEX THERAPEUTICS, INC. | AGEX THERAPEUTICS, INC. |
| Date: January 27, 2023 | By: | */s/ Andrea E. Park* |
|  |  | Chief Financial Officer |

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