{"url_path":"/sec/ser/8-k/2026-06-24/item-5-07","section_key":"item-5-07","section_title":"Item 5.07 Submission of Matters to a Vote of Security Holders.","topic":"sec","document":{"doc_type":"8-K","doc_date":"2026-06-24","source_url":"https://www.sec.gov/Archives/edgar/data/1708599/0001708599-26-000040-index.html","accession_number":"0001708599-26-000040","cik":"0001708599","ticker":"SER","issuer_name":"Serina Therapeutics, Inc.","edgar_url":"https://www.sec.gov/Archives/edgar/data/1708599/0001708599-26-000040-index.html","primary_entity_key":"0001708599","primary_entity_name":"Serina Therapeutics, Inc."},"word_count":510,"has_tables":true,"body_markdown":"Item 5.07 Submission of Matters to a Vote of Security Holders.\n\nThe Board of Directors of the Company held the Company’s 2026 Annual Meeting of the Stockholders (the “Annual Meeting”) on June 17, 2026. A quorum was present at the meeting. The final results of voting for each matter submitted to a vote of stockholders at the Annual Meeting are set forth below.\n\nProposal 1\n\nElection of Three Directors\n\nVoting results for the election of directors were as follows:\n\nNominees\n\nFor\n\nWithheld\n\nBroker Non-Votes\n\nGregory H. Bailey, M.D.\n\n4,732,486\n\n15,785\n\n5,484,033\n\nRichard Marshall, CBE, M.D., Ph.D.\n\n4,618,312\n\n129,959\n\n5,484,033\n\nJay Venkatesan, M.D.\n\n4,670,609\n\n77,662\n\n5,484,033\n\nAccordingly, all three of the Company’s nominees were elected to serve as directors of the Company until the 2029 Annual Meeting of Stockholders or until their respective successors are appointed, elected and qualified.\n\nProposal 2\n\nApproval of the Share Increase Proposal\n\nAs described in the Company’s Proxy Statement filed with the U.S. Securities and Exchange Commission on April 27, 2026 (the “Proxy Statement”), the proposed Certificate of Amendment to the Certificate of Incorporation to increase the number of the Company’s authorized shares of common stock from 40,000,000 shares to 125,000,000 shares was approved by the following vote:\n\nFor\n\nAgainst\n\nAbstain\n\nBroker Non-Votes\n\n9,066,239\n\n478,876\n\n687,189\n—\n\nProposal 3\n\nApproval of the 2024 Incentive Plan Amendment Proposal\n\nAs described in the Company’s Proxy Statement, a proposed amendment to the Serina Therapeutics, Inc. 2024 Equity Incentive Plan to increase the number of shares of common stock available for issuance thereunder by 2,000,000 shares was approved by the following vote:\n\nFor\n\nAgainst\n\nAbstain\n\nBroker Non-Votes\n\n4,256,290\n\n370,546\n\n121,435\n\n5,484,033\n\nProposal 4\n\nApproval of the Conversion Proposal\n\nAs described in the Company’s Proxy Statement, the issuance of common stock in connection with the conversion of certain existing Series A Preferred Stock into common stock was approved by the following vote:\n\nFor\n\nAgainst\n\nAbstain\n\nBroker Non-Votes\n\n4,706,222\n\n36,639\n\n5,410\n\n5,484,033\n\nProposal 5\n\nApproval of the Private Placement Proposal\n\nAs described in the Company’s Proxy Statement, the issuance of common stock in connection with the exercise of certain existing Private Placement Securities into common stock was approved by the following vote:\n\nFor\n\nAgainst\n\nAbstain\n\nBroker Non-Votes\n\n4,691,390\n\n50,543\n\n6,338\n\n5,484,033\n\nProposal 6\n\nApproval of the Say-on-Pay Proposal\n\nAs described in the Company’s Proxy Statement the compensation of the Company’s Named Executive Officers was approved on an advisory basis by the following vote:\n\nFor\n\nAgainst\n\nAbstain\n\nBroker Non-Votes\n\n4,575,286\n\n47,384\n\n125,601\n\n5,484,033\n\nProposal 7\n\nApproval of the Say-on-Pay Frequency Proposal\n\nAs described in the Company’s Proxy Statement, a frequency of every one year for future advisory votes on the compensation of the Company’s Named Executive Officers was approved on an advisory basis by the following vote:\n\nOne Year\n\nTwo Years\n\nThree Years\n\nAbstain\n\n3,707,911\n\n194,414\n\n398,660\n\n447,286\n\nProposal 8\n\nRatification of the Appointment of Auditors\n\nRatification of the appointment of Frazier & Deeter, LLC as the Company’s independent registered public accounting firm for the 2026 fiscal year was approved by the following vote:\n\nFor\n\nAgainst\n\nAbstain\n\nBroker Non-Votes\n\n9,964,933\n\n265,157\n\n2,214\n—"}