Serina Therapeutics, Inc.
For the period ended Mar 31, 2026. Filed May 14, 2026.
View on SEC.govAbout this filing
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, 2026 · Filed May 14, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 6. Exhibits
| Incorporation By Reference | |||||
|---|---|---|---|---|---|
| Exhibit Number | Description of Document | Form | SECFile No. | Exhibit | Filing Date |
| 3.1 | Amended and Restated Bylaws of Serina Therapeutics, Inc., adopted April 15, 2026. | 8-K | 001-38519 | 3.1 | 4/21/2026 |
| 4.1 | Form of Pre-Funded Common Stock Purchase Warrant | 8-K | 001-38519 | 4.1 | 3/23/2026 |
| 4.2 | Form of Redeemable Common Stock Purchase Warrant | 8-K | 001-38519 | 4.2 | 3/23/2026 |
| 10.1 | Form of Securities Purchase Agreement | 8-K | 001-38519 | 10.1 | 3/23/2026 |
| 10.2 | Form of Registration Rights Agreement | 8-K | 001-38519 | 10.2 | 3/23/2026 |
| 10.3 | Form of Amendment to Senior Unsecured Convertible Promissory Note | 8-K | 001-38519 | 10.3 | 3/23/2026 |
| 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 | ||||
| 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, 2026 | /s/ Steve Ledger |
|---|---|
| Steve Ledger | |
| Chief Executive Officer | |
| Date: May 14, 2026 | /s/ Gregory S. Curhan |
| Gregory S. Curhan | |
| Chief Financial Officer and Principal 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.