Amendment: SEC Form 10-K/A filed by Serina Therapeutics Inc.
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Biotechnology: Pharmaceutical Preparations
Health Care
Park
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K/A
(Amendment No. 1)
OF THE SECURITIES EXCHANGE ACT OF 1934
For the fiscal year ended December 31 , 2025
OR
OF THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from ___________ to ___________
Commission file number 1-38519
(Exact name of registrant as specified in its charter)
(State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification No.) | |||||||
(Address of principal executive offices) (Zip Code)
Registrant’s telephone number, including area code: (256) 327-9630
Securities registered pursuant to Section 12(b) of the Act:
| Title of each class | Trading Symbol | Name of exchange on which registered | ||||||||||||
Securities registered pursuant to Section 12(g) of the Act: None
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes o No x
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act. Yes o No x
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes x No o
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§ 232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). Yes x No o
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.
Large accelerated filer o | Accelerated filer o | ||||
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 to Section 13(a) of the Exchange Act. o
Indicate by check mark whether the registrant has filed a report on and attestation to its management’s assessment of the effectiveness of internal control over financial reporting under Section 404(b) of the Sarbanes-Oxley Act (15 U.S.C. 7262(b)) by the registered public accounting firm that prepared or issued its audit report. o
If securities are registered pursuant to Section 12(b) of the Act, indicate by check mark whether the financial statements of the registrant included in the filing reflect the correction of an error to previously issued financial statements. o
Indicate by check mark whether any of those error corrections are restatements that required a recovery analysis of incentive-based compensation received by any of the registrant’s executive officers during the relevant recovery period pursuant to §240.10D-1(b). o
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act): Yes o No x
The aggregate market value of the voting common stock held by non-affiliates of the registrant, computed based on the closing price for such stock as reported on the NYSE American on June 30, 2025 (the last trading day of the registrant's second fiscal quarter of 2025) was $21.8 million.
As of March 18, 2026, there were outstanding 12,314,159 shares of common stock, par value $0.0001 per share.
DOCUMENTS INCORPORATED BY REFERENCE
Portions of the registrant’s definitive proxy statement to be filed for the registrant’s 2026 Annual Meeting of Stockholders are incorporated by reference into Part III hereof. Such proxy statement will be filed with the Securities and Exchange Commission within 120 days of the end of the fiscal year covered by this Annual Report on Form 10-K.
EXPLANATORY NOTE
This Amendment No. 1 on Form 10-K/A (this “Amendment”) amends the Annual Report on Form 10-K of Serina Therapeutics, Inc. (the “Company”) for the fiscal year ended December 31, 2025, as filed with the Securities and Exchange Commission (the “SEC”) on March 25, 2026 (the “Original 10-K”). Exhibit 23.1, Consent of Independent Registered Public Accounting Firm, with respect to the calendar year ended December 31, 2025, to the Original 10-K (the “Auditor Consent”) inadvertently contained an incorrect version of the Auditor Consent. This Amendment is being filed to include the correct version of the Auditor Consent.
Accordingly, Exhibit 23.1 in Part IV, Item 15 of the Original 10-K has been amended and restated in its entirety to reflect this change. The Company is also providing new certifications from its principal executive officer and principal financial officer as required by Rule 12b-15 under the Securities Exchange Act of 1934, as amended.
Except as described above, The Company has not modified or updated any disclosures contained in the Original 10-K. Accordingly, this Amendment does not reflect events occurring after the date of filing of the Original 10-K and therefore continues to speak only as of the date of the Original 10-K.
PART IV
Item 15. Exhibits and Financial Statement Schedules
The following exhibits are filed herewith or incorporated by reference:
| Incorporation By Reference | |||||||||||||||||||||||||||||||||||
| Exhibit Number | Description of Document | Form | SEC File No. | Exhibit | Filing Date | ||||||||||||||||||||||||||||||
| 2.1† | 8-K | 001-38519 | 2.1 | 8/30/2023 | |||||||||||||||||||||||||||||||
| 3.1 | 8-K | 001-38519 | 3.1 | 4/1/2024 | |||||||||||||||||||||||||||||||
| 3.2 | 10-K | 001-38519 | 3.2 | 3/25/2026 | |||||||||||||||||||||||||||||||
| 3.3 | 8-K | 001-38519 | 3.1 | 4/14/2025 | |||||||||||||||||||||||||||||||
| 3.4 | 8-K | 001-38519 | 3.1 | 5/22/2025 | |||||||||||||||||||||||||||||||
| 4.1 | 8-K | 001-38519 | 4.1 | 2/15/2022 | |||||||||||||||||||||||||||||||
| 4.2 | 10-K | 001-38519 | 4.2 | 3/25/2026 | |||||||||||||||||||||||||||||||
| 4.3 | 8-K | 001-38519 | 4.1 | 9/15/2025 | |||||||||||||||||||||||||||||||
| 10.1‡ | 8-K | 001-38519 | 10.1 | 12/12/2022 | |||||||||||||||||||||||||||||||
| 10.42‡ | 8-K | 001-38519 | 10.4 | 4/1/2024 | |||||||||||||||||||||||||||||||
| 10.3‡ | 8-K | 001-38519 | 10.5 | 4/1/2024 | |||||||||||||||||||||||||||||||
| 10.4‡ | S-8 | 333-229432 | 99.1 | 1/30/2019 | |||||||||||||||||||||||||||||||
| 10.5‡ | S-8 | 333-229432 | 99.2 | 1/30/2019 | |||||||||||||||||||||||||||||||
| 10.6‡ | S-8 | 333-229432 | 99.3 | 1/30/2019 | |||||||||||||||||||||||||||||||
| 10.7‡ | S-8 | 333-229432 | 99.4 | 1/30/2019 | |||||||||||||||||||||||||||||||
| 10.8‡ | S-8 | 333-229432 | 99.5 | 1/30/2019 | |||||||||||||||||||||||||||||||
| 10.9‡ | S-8 | 333-261997 | 99.1 | 1/4/2022 | |||||||||||||||||||||||||||||||
| 10.10‡ | 8-K | 001-38519 | 10.7 | 4/1/2024 | |||||||||||||||||||||||||||||||
| 10.11‡ | 8-K | 001-38519 | 10.8 | 4/1/2024 | |||||||||||||||||||||||||||||||
| 10.12‡ | 8-K | 001-38519 | 10.1 | 4/17/2024 | |||||||||||||||||||||||||||||||
| 10.13‡ | 8-K | 001-38519 | 10.1 | 9/12/2024 | |||||||||||||||||||||||||||||||
| 10.14‡ | 10-Q | 001-38519 | 10.2 | 11/12/2024 | |||||||||||||||||||||||||||||||
| 10.15‡ | 10-Q | 001-38519 | 10.3 | 11/12/2024 | |||||||||||||||||||||||||||||||
| 10.16 | 8-K | 001-38519 | 10.1 | 9/15/2025 | |||||||||||||||||||||||||||||||
| 16.1 | 8-K | 001-38519 | 16.1 | 5/3/2024 | |||||||||||||||||||||||||||||||
| 19.1 | 10-K | 001-38519 | 19.1 | 3/24/2025 | |||||||||||||||||||||||||||||||
| 21.1 | 10-K | 001-38519 | 21.1 | 3/25/2026 | |||||||||||||||||||||||||||||||
| 23.1* | |||||||||||||||||||||||||||||||||||
31.1* | |||||||||||||||||||||||||||||||||||
31.2* | |||||||||||||||||||||||||||||||||||
| 32** | |||||||||||||||||||||||||||||||||||
| 97.1 | 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.
Item 16. Form 10-K Summary
None.
SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) 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.
Date: March 27, 2026
| SERINA THERAPEUTICS, INC. | ||||||||
| By: | /s/ Steve Ledger | |||||||
| Steve Ledger Chief Executive Officer | ||||||||
| Signature | Title | Date | ||||||||||||
/s/ Balkrishan (Simba) Gill | Executive Chairman of the Board of Directors | March 27, 2026 | ||||||||||||
| Balkrishan (Simba) Gill, Ph.D | ||||||||||||||
| /s/ Steve Ledger | Chief Executive Officer and Director | March 27, 2026 | ||||||||||||
| Steve Ledger | (Principal Executive Officer) | |||||||||||||
| /s/ Gregory S. Curhan | Chief Financial Officer | March 27, 2026 | ||||||||||||
| Gregory S. Curhan | (Principal Financial and Accounting Officer) | |||||||||||||
| /s/ Gregory H. Bailey | Director | March 27, 2026 | ||||||||||||
| Gregory H. Bailey, M.D. | ||||||||||||||
| /s/ Stephen Brannan | Director | March 27, 2026 | ||||||||||||
| Stephen Brannan, M.D. | ||||||||||||||
| /s/ Richard Marshall | Director | March 27, 2026 | ||||||||||||
| Richard Marshall, CBE, M.D., Ph.D. | ||||||||||||||
/s/ Jay Venkatesan | Director | March 27, 2026 | ||||||||||||
| Jay Venkatesan, M.D. | ||||||||||||||
/s/ Karen J. Wilson | Director | March 27, 2026 | ||||||||||||
Karen J. Wilson | ||||||||||||||