# EDGAR Filing Document

**Accession Number:** 0001708599
**File Stem:** 0001708599-25-000130
**Filing Date:** 2025-11
**Character Count:** 5820
**Document Hash:** 4761b6b51f0e631db366858d0e864908
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001708599-25-000130.hdr.sgml**: 20251112

**ACCESSION NUMBER**: 0001708599-25-000130

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 12

**CONFORMED PERIOD OF REPORT**: 20251107

**ITEM INFORMATION**: Submission of Matters to a Vote of Security Holders

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20251112

**DATE AS OF CHANGE**: 20251112

**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:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38519
- **FILM NUMBER:** 251471118

**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-20251107

**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): **November 7, 2025**

**Serina Therapeutics, Inc.**

(Exact name of registrant as specified in its charter)

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

---

**601 Genome Way, Suite 2001**

**Huntsville, Alabama 35806**

(Address of principal executive offices)

**(256) 327-9630**

(Registrant's telephone number, including area code)

**Not applicable**

(Former name or former address, if changed since last report)

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))

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 |

---

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. □

**Item 5.07 Submission of Matters to a Vote of Security Holders.**

The Board of Directors of Serina Therapeutics, Inc. (the "Company") held the Company's 2025 Annual Meeting of the Stockholders (the "Annual Meeting") on November 7, 2025. A quorum was present at the meeting. The final results of voting for each matter submitted to a vote of stockholders at the Annual Meeting are set forth below.

Proposal 1

<u>Election of Two Directors</u>

Voting results for the election of directors were as follows:

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| | | | |
|:---|:---|:---|:---|
| Nominees | For | Withheld | Broker Non-Votes |
| Steve Ledger | 4165885 | 93287 | 2681141 |
| Karen J. Wilson | 4169893 | 89279 | 2681141 |

---

Accordingly, both of the Company's nominees were elected to serve as directors of the Company until the 2028 Annual Meeting of Stockholders or until their respective successors are appointed, elected and qualified.

Proposal 2

<u>Ratification of the Appointment of Auditors</u>

Ratification of the appointment of Frazier & Deeter, LLC as the Company's independent registered public accounting firm for the 2025 fiscal year was approved by the following vote:

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| | | | |
|:---|:---|:---|:---|
| For | Against | Abstain | Broker Non-Votes |
| 6,544,850 | 377,827 | 17,636 |  |

---

Proposal 3

<u>Approval of the Convertible Note and Warrants Proposal</u>

As described in the Company's Proxy Statement, the issuance of common stock in connection with the exercise of the Convertible Note and Warrants was approved by the following vote:

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| | | | |
|:---|:---|:---|:---|
| For | Against | Abstain | Broker Non-Votes |
| 4,149,038 | 108,481 | 1,653 | 2,681,141 |

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

(d) Exhibits

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| | |
|:---|:---|
| **Exhibit<br>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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| | | |
|:---|:---|:---|
| | SERINA THERAPEUTICS, INC. | SERINA THERAPEUTICS, INC. |
| Date: November 12, 2025 | By: | */s/ Steve Ledger* |
|  |  | Chief Executive Officer |

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