{"url_path":"/sec/ser/10-q/2026/cover-page","section_key":"cover-page","section_title":"Cover Page","topic":"sec","document":{"doc_type":"10-Q","doc_date":"2026-05-14","source_url":"https://www.sec.gov/Archives/edgar/data/1708599/0001708599-26-000035-index.html","accession_number":"0001708599-26-000035","cik":"0001708599","ticker":"SER","issuer_name":"Serina Therapeutics, Inc.","edgar_url":"https://www.sec.gov/Archives/edgar/data/1708599/0001708599-26-000035-index.html","primary_entity_key":"0001708599","primary_entity_name":"Serina Therapeutics, 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of Contents](#i6128db602b644f7faf6d05e37f43917b_7)\n\nUNITED STATES\n\nSECURITIES AND EXCHANGE COMMISSION\n\nWashington, D.C. 20549\n\nFORM 10-Q\n\nx\nQUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d)\n\nOF THE SECURITIES EXCHANGE ACT OF 1934\n\nFor the quarterly period ended March 31, 2026\n\nOR\n\no\nTRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d)\n\nOF THE SECURITIES EXCHANGE ACT OF 1934\n\nFor the transition period from ___________ to ___________\n\nCommission file number 1-38519\n\nSerina Therapeutics, Inc.\n\n(Exact name of registrant as specified in its charter)\n\nDelaware\n\n82-1436829\n\n(State or other jurisdiction of\n\nincorporation or organization)\n\n(I.R.S. Employer\n\nIdentification No.)\n\n601 Genome Way, Suite 2001\n\nHuntsville, Alabama 35806\n\n(Address of principal executive offices) (Zip Code)\n\nRegistrant’s telephone number, including area code: (256) 327-9630\n\nTitle of each classTrading SymbolName of exchange on which registered\n\nCommon Stock, par value $0.0001 per share\nSER\n\nNYSE American\n\nIndicate 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. x Yes o No\n\nIndicate 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). x Yes o No\n\nIndicate 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.\n\nLarge accelerated filer oAccelerated filero\n\nNon-accelerated filer xSmaller reporting company x\n\n Emerging growth company o\n\nIf 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\n\nIndicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). o Yes x No\n\nThe number of shares common stock outstanding as of May 10, 2026 was 14,997,505, par value $0.0001 per share.\n\n[Table of Contents](#i6128db602b644f7faf6d05e37f43917b_7)\n\nSERINA THERAPEUTICS, INC.\n\nTABLE OF CONTENTS\n\nPage\nNumber\n\n[Part I – FINANCIAL INFORMATION](#i6128db602b644f7faf6d05e37f43917b_13)\n \n\n[Item 1.](#i6128db602b644f7faf6d05e37f43917b_16)\n\n[Financial Statements](#i6128db602b644f7faf6d05e37f43917b_16)\n\n[4](#i6128db602b644f7faf6d05e37f43917b_16)\n\n[Item 2.](#i6128db602b644f7faf6d05e37f43917b_79)\n\n[Management’s Discussion and Analysis of Financial Condition and Results of Operations](#i6128db602b644f7faf6d05e37f43917b_79)\n\n[26](#i6128db602b644f7faf6d05e37f43917b_79)\n\n[Item 3.](#i6128db602b644f7faf6d05e37f43917b_100)\n\n[Quantitative and Qualitative Disclosures About Market Risk](#i6128db602b644f7faf6d05e37f43917b_100)\n\n[33](#i6128db602b644f7faf6d05e37f43917b_100)\n\n[Item 4.](#i6128db602b644f7faf6d05e37f43917b_103)\n\n[Controls and Procedures](#i6128db602b644f7faf6d05e37f43917b_103)\n\n[33](#i6128db602b644f7faf6d05e37f43917b_103)\n\n[Part II – OTHER INFORMATION](#i6128db602b644f7faf6d05e37f43917b_106)\n \n\n[Item 1.](#i6128db602b644f7faf6d05e37f43917b_109)\n\n[Legal Proceedings](#i6128db602b644f7faf6d05e37f43917b_109)\n\n[35](#i6128db602b644f7faf6d05e37f43917b_109)\n\n[Item 1A.](#i6128db602b644f7faf6d05e37f43917b_112)\n\n[Risk Factors](#i6128db602b644f7faf6d05e37f43917b_112)\n\n[35](#i6128db602b644f7faf6d05e37f43917b_112)\n\n[Item 2.](#i6128db602b644f7faf6d05e37f43917b_115)\n\n[Unregistered Sales of Equity Securities and Use of Proceeds](#i6128db602b644f7faf6d05e37f43917b_115)\n\n[35](#i6128db602b644f7faf6d05e37f43917b_115)\n\n[Item 3.](#i6128db602b644f7faf6d05e37f43917b_118)\n\n[Default Upon Senior Securities](#i6128db602b644f7faf6d05e37f43917b_118)\n\n[35](#i6128db602b644f7faf6d05e37f43917b_118)\n\n[Item 4.](#i6128db602b644f7faf6d05e37f43917b_121)\n\n[Mine Safety Disclosures](#i6128db602b644f7faf6d05e37f43917b_121)\n\n[36](#i6128db602b644f7faf6d05e37f43917b_121)\n\n[Item 5.](#i6128db602b644f7faf6d05e37f43917b_124)\n\n[Other Information](#i6128db602b644f7faf6d05e37f43917b_124)\n\n[36](#i6128db602b644f7faf6d05e37f43917b_124)\n\n[Item 6.](#i6128db602b644f7faf6d05e37f43917b_130)\n\n[Exhibits](#i6128db602b644f7faf6d05e37f43917b_130)\n\n[37](#i6128db602b644f7faf6d05e37f43917b_130)\n\n2\n\n[Table of Contents](#i6128db602b644f7faf6d05e37f43917b_7)\n\nForward-Looking Statements\n\nThis Quarterly Report on Form 10-Q (this “Report”) contains forward-looking statements that involve risks and uncertainties. We make such forward-looking statements pursuant to the safe harbor provisions of the Private Securities Litigation Reform Act of 1995 and other federal securities laws. All statements other than statements of historical facts contained in this Report are forward-looking statements. In some cases, you can identify forward-looking statements by words such as “anticipate,” “believe,” “contemplate,” “continue,” “could,” “estimate,” “expect,” “intend,” “may,” “plan,” “potential,” “predict,” “project,” “seek,” “should,” “target,” “will,” “would,” or the negative of these words or other comparable terminology.\n\nAny forward-looking statements in this Report reflect our current views with respect to future events or to our future financial performance and involve known and unknown risks, uncertainties and other factors that may cause our actual results, performance or achievements to be materially different from any future results, performance or achievements expressed or implied by these forward-looking statements. Factors that may cause actual results to differ materially from current expectations include, among other things, those discussed in this Report under Item 1 of the Notes to Condensed Consolidated Financial Statements, under Risk Factors in this Report, those incorporated by reference in the section titled “Risk Factors” in our Annual Report on Form 10-K filed with the U.S. Securities and Exchange Commission (the “SEC”) on March 25, 2026, as amended on March 27, 2026, and our other periodic reports and documents filed from time to time with the SEC. Given these uncertainties, you should not place undue reliance on these forward-looking statements. Except as required by law, we assume no obligation to update or revise these forward-looking statements for any reason, even if new information becomes available in the future.\n\nThe description or discussion, in this Report, of any contract or agreement is a summary only and is qualified in all respects by reference to the full text of the applicable contract or agreement.\n\nAs used herein, otherwise stated or the context otherwise requires, references to “Serina,” the “Company,” “we,” “our,” “us” or similar terms refer to Serina Therapeutics, Inc. and its subsidiaries.\n\n3\n\n[Table of Contents](#i6128db602b644f7faf6d05e37f43917b_7)\n\nPART I — FINANCIAL INFORMATION"}