Serina Therapeutics Inc
For the period ended Mar 31, 2024. Filed May 14, 2024.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Mar 31, 2024 · Filed May 14, 2024
SER$1.43+3.6%Stored close · as of Nov 9, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 6. Exhibits
| Incorporation By Reference | |||||
|---|---|---|---|---|---|
| Exhibit Number | Description of Document | Form | SEC File No. | Exhibit | Filing Date |
| 2.1† | Agreement and Plan of Merger and Reorganization, dated August 29, 2023, by and among AgeX Therapeutics, Inc., Canaria Transaction Corporation and Serina Therapeutics, Inc. | 8-K | 001-38519 | 2.1 | 8/30/2023 |
| 3.1 | Amended and Restated Certificate of Incorporation of Serina Therapeutics, Inc. | 8-K | 001-38519 | 3.1 | 4/1/2024 |
| 3.2 | Amended and Restated Bylaws of Serina Therapeutics, Inc. | 8-K | 001-38519 | 3.2 | 4/1/2024 |
| 4.1 | Form of Post-Merger Warrant included in Warrant Agreement dated March 19, 2024. | 10-K | 001-38519 | 4.4 | 3/22/2024 |
| 4.2 | Form of Incentive Warrant included in Warrant Agreement dated March 19, 2024. | 10-K | 001-38519 | 4.5 | 3/22/2024 |
| 10.1 | Sixth Amendment to Amended and Restated Convertible Promissory Note, dated February 9, 2024, between AgeX Therapeutics, Inc. and Juvenescence Limited | 8-K | 001-38519 | 10.1 | 2/14/2024 |
| 10.2 | Warrant Agreement, dated March 19, 2024 between AgeX Therapeutics, Inc. and Equinity Trust Company, LLC | 10-K | 001-38519 | 10.49 | 2/14/2024 |
| 10.3 | Seventh Amendment to Amended and Restated Convertible Promissory Note, dated March 26, 2024, between AgeX Therapeutics, Inc., the Guarantors party thereto and Juvenescence Limited | 8-K | 001-38519 | 10.1 | 4/1/2024 |
| 10.4# | Agreement with respect to Convertible Notes dated March 26, 2024, among AgeX Therapeutics, Inc., UniverXome Bioengineering, Inc., the Subsidiary Obligors and Juvenescence Limited | 8-K | 001-38519 | 10.2 | 4/1/2024 |
| 10.5# | Asset Contribution Agreement dated March 26, 2024 between AgeX Therapeutics, Inc. and UniverXome Bioengineering, Inc. | 8-K | 001-38519 | 10.3 | 4/1/2024 |
| 10.6* | Eighth Amendment to Amended and Restated Convertible Promissory Note dated May 8, 2024, between UniverXome Bioengineering, Inc. and Juvenescence Limited | ||||
| 10.7‡ | Form of Indemnification Agreement for Officers and Directors | 8-K | 001-38519 | 10.4 | 4/1/2024 |
| 10.8‡ | Director Compensation Policy | 8-K | 001-38519 | 10.5 | 4/1/2024 |
| 10.9‡ | Serina Therapeutics Inc. 2024 Equity Incentive Plan. | 424B3 | 001-38519 | Annex C | 2/14/2024 |
| 10.10‡ | Form of Stock Option Agreement | 8-K | 001-38519 | 10.8 | 4/1/2024 |
| 31* | Rule 13a-14(a)/15d-14(a) Certification |
| 32** | Section 1350 Certification |
| 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 |
| 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. |
| † | 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. |
| # | Schedules and exhibits to this Exhibit have been omitted pursuant to Item 601(b)(10) of Regulation S-K. A copy of any omitted schedule or exhibit will be furnished to the Securities and Exchange Commission or its staff upon request |
| ‡ | Management contract or compensatory plan. |
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, thereunto duly authorized.
| SERINA THERAPEUTICS, INC. | |
| Date: May 14, 2024 | /s/ Steve Ledger |
|---|---|
| Steve Ledger | |
| Interim Chief Executive Officer | |
| Date: May 14, 2024 | /s/ Andrea E. Park |
| Andrea E. Park | |
| Interim Chief Financial Officer and Chief Accounting Officer |
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.