Serina Therapeutics Inc 2024年度报告

FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d)OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d)OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from ___________ to ___________ Commission file number 1-38519 Serina Therapeutics, Inc. (State or other jurisdiction ofincorporation or organization)(I.R.S. EmployerIdentification No.) 601 Genome Way, Suite 2001Huntsville, Alabama 35806(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: Common Stock, par value $0.0001 pershare NYSE American 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 theSecurities Act. Yes o No x Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section15(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 or15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter periodthat the registrant was required to file such reports), and (2) has been subject to such filing requirementsfor the past 90 days. Yes x No o Indicate by check mark whether the registrant has submitted electronically every Interactive Data Filerequired to be submitted pursuant to Rule 405 of Regulation S-T (§ 232.405 of this chapter) during thepreceding 12 months (or for such shorter period that the registrant was required to submit such files). Yesx 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. Accelerated filer oSmaller reporting company xEmerging growth company o Large accelerated filer oNon-accelerated filer x If an emerging growth company, indicate by check mark if the registrant has elected not to use theextended transition period for complying with any new or revised financial accounting standards providedto 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’sassessment of the effectiveness of internal control over financial reporting under Section 404(b) of theSarbanes-Oxley Act (15 U.S.C. 7262(b)) by the registered public accounting firm that prepared or issuedits audit report. o If securities are registered pursuant to Section 12(b) of the Act, indicate by check mark whether thefinancial statements of the registrant included in the filing reflect the correction of an error to previouslyissued financial statements. o Indicate by check mark whether any of those error corrections are restatements that required a recoveryanalysis of incentive-based compensation received by any of the registrant’s executive officers during therelevant 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 theExchange Act): Yes o No x The aggregate market value of the voting common stock held by non-affiliates of the registrant, computedbased on the closing price for such stock as reported on the NYSE on June 30, 2024 (the last trading dayof the registrant's second fiscal quarter of 2024) was $38.4 million. As of March 20, 2025, there were outstanding 9,932,215 shares of common stock, par value $0.0001 pershare. DOCUMENTS INCORPORATED BY REFERENCE None Table of Content Serina Therapeutics, Inc.Table of Contents Forward-Looking Statements This Annual Report on Form 10-K (“Report”) contains forward-looking statements that involve risks anduncertainties. 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 otherthan statements of historical facts contained in this Report are forward-looking statements. In somecases,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 comparableterminology.1 Table of Content Any forward-looking statements in this Report reflect our current views with respect to future events or toour future financial performance and involve known and unknown risks, uncertainties and other factorsthat may cause our actual results, performance or achievements to be materially different from any futureresults, per