SER 8-K
Serina Therapeutics, Inc. (SER)
8-K
2025-11-12
For: 2025-11-07
View Original
Added on
April 09, 2026
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (date of earliest event reported): November 7, 2025
(Exact name of registrant as specified in its charter)
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Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
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Securities registered pursuant to Section 12(b) of the Act:
| Title of each class | Trading Symbol | Name of exchange on which registered | ||||||||||||
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). Emerging growth company 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 pursuant to Section 13(a) of the Exchange Act. o
Item 5.07 Submission of Matters to a Vote of Security Holders.
The Board of Directors of Serina Therapeutics, Inc. (the “Company”) held the Company’s 2025 Annual Meeting of the Stockholders (the “Annual Meeting”) on November 7, 2025. 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.
Proposal 1
Election of Two Directors
Voting results for the election of directors were as follows:
Nominees | For | Withheld | Broker Non-Votes | ||||||||
Steve Ledger | 4,165,885 | 93,287 | 2,681,141 | ||||||||
Karen J. Wilson | 4,169,893 | 89,279 | 2,681,141 | ||||||||
Accordingly, both of the Company’s nominees were elected to serve as directors of the Company until the 2028 Annual Meeting of Stockholders or until their respective successors are appointed, elected and qualified.
Proposal 2
Ratification of the Appointment of Auditors
Ratification of the appointment of Frazier & Deeter, LLC as the Company’s independent registered public accounting firm for the 2025 fiscal year was approved by the following vote:
For | Against | Abstain | Broker Non-Votes | ||||||||
6,544,850 | 377,827 | 17,636 | — | ||||||||
Proposal 3
Approval of the Convertible Note and Warrants Proposal
As described in the Company’s Proxy Statement, the issuance of common stock in connection with the exercise of the Convertible Note and Warrants was approved by the following vote:
For | Against | Abstain | Broker Non-Votes | ||||||||
4,149,038 | 108,481 | 1,653 | 2,681,141 | ||||||||
Item 9.01 - Financial Statements and Exhibits.
(d) Exhibits
| Exhibit Number | Description | |||||||
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) | |||||||
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 hereunto duly authorized.
| SERINA THERAPEUTICS, INC. | ||||||||
Date: November 12, 2025 | By: | /s/ Steve Ledger | ||||||
| Chief Executive Officer | ||||||||