Serina Therapeutics, Inc.
For the period ended Dec 31, 2025. Filed Mar 25, 2026.
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A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.
FY2025 · Filed Mar 25, 2026
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Item 15. Exhibits and Financial Statement Schedules
The following exhibits are filed herewith or incorporated by reference:
| Incorporation By Reference | |||||
|---|---|---|---|---|---|
| ExhibitNumber | Description of Document | Form | SEC FileNo. | 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., as amended for SEC filing purposes only | ||||
| 3.3 | Certificate of Designations, dated April 10, 2025. | 8-K | 001-38519 | 3.1 | 4/14/2025 |
| 3.4 | Certificate of Correction, dated May 22, 2025. | 8-K | 001-38519 | 3.1 | 5/22/2025 |
| 4.1 | Form of Warrant included in Warrant Agreement dated February 14, 2022. | 8-K | 001-38519 | 4.1 | 2/15/2022 |
| 4.2* | New Form of Warrant Agreement dated January 31, 2025. | ||||
| 4.3 | Form of Warrant Agreement | 8-K | 001-38519 | 4.1 | 9/15/2025 |
| 10.1‡ | Amendment to AgeX Therapeutics, Inc. 2017 Equity Incentive Plan | 8-K | 001-38519 | 10.1 | 12/12/2022 |
| 10.42‡ | Form of Indemnification Agreement for Officers and Directors | 8-K | 001-38519 | 10.4 | 4/1/2024 |
| 10.3‡ | Director Compensation Policy | 8-K | 001-38519 | 10.5 | 4/1/2024 |
| 10.4‡ | AgeX Therapeutics, Inc. 2017 Equity Incentive Plan. | S-8 | 333-229432 | 99.1 | 1/30/2019 |
| 10.5‡ | Form of AgeX Therapeutics, Inc. Employee Stock Option Agreement. | S-8 | 333-229432 | 99.2 | 1/30/2019 |
| 10.6‡ | Form of AgeX Therapeutics, Inc. Non-Employee Director Stock Option Agreement. | S-8 | 333-229432 | 99.3 | 1/30/2019 |
| 10.7‡ | Form of AgeX Therapeutics, Inc. Restricted Stock Agreement. | S-8 | 333-229432 | 99.4 | 1/30/2019 |
| 10.8‡ | Form of AgeX Therapeutics, Inc. Restricted Stock Unit Agreement. | S-8 | 333-229432 | 99.5 | 1/30/2019 |
| 10.9‡ | Amendment to AgeX Therapeutics, Inc. 2017 Equity Incentive Plan. | S-8 | 333-261997 | 99.1 | 1/4/2022 |
| 10.10‡ | Serina Therapeutics Inc. 2024 Equity Incentive Plan. | 8-K | 001-38519 | 10.7 | 4/1/2024 |
| 10.11‡ | Form of Stock Option Agreement | 8-K | 001-38519 | 10.8 | 4/1/2024 |
| 10.12‡ | Executive Chairman Agreement, dated as of April 12, 2024, by and between Serina Therapeutics, Inc. and Balkrishan "Simba" Gill. | 8-K | 001-38519 | 10.1 | 4/17/2024 |
| 10.13‡ | Employment Agreement, effective as of September 9, 2024, among Serina Therapeutics, Inc., Serina Therapeutics (AL), Inc. and Steve Ledger. | 8-K | 001-38519 | 10.1 | 9/12/2024 |
| 10.14‡ | Employment Agreement, dated as of July 15, 2024, by and between Serina Therapeutics, Inc. and Srini Tenjarla. | 10-Q | 001-38519 | 10.2 | 11/12/2024 |
| 10.15‡ | Confidential Consulting Agreement, dated as of May 31, 2024, by and between Serina Therapeutics, Inc. and FLG Partners, LLC | 10-Q | 001-38519 | 10.3 | 11/12/2024 |
| 10.16 | Convertible Note, dated as of September 9, 2025, between Serina Therapeutics, Inc. and Gregory Bailey. | 8-K | 001-38519 | 10.1 | 9/15/2025 |
| 16.1 | Letter of WithumSmith+Brown, PC to the Securities and Exchange Commission, dated May 3, 2024 | 8-K | 001-38519 | 16.1 | 5/3/2024 |
| 19.1* | Serina Therapeutics, Inc. Insider Trading Policy | 10-K | 001-38519 | 19.1 | 3/24/2025 |
| 21.1* | List of Subsidiaries | ||||
| 23.1* | Consent of Frazier & Deeter, LLC | ||||
| 31.1* | Rule 13a-14(a)/15d-14(a) Certification of the Chief Executive Officer | ||||
| 31.2* | Rule 13a-14(a)/15d-14(a) Certification of the Chief Financial Officer | ||||
| 32** | Section 1350 Certification | ||||
| 97.1* | Serina Therapeutics, Inc. Clawback Policy | 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 | ||||
| 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.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.