{"filing":{"accession_number":"0001708599-26-000051","cik":"0001708599","ticker":"SER","company_name":"Serina Therapeutics, Inc.","form":"8-K","filing_date":"2026-08-26","report_date":"2026-08-21","primary_document":"ser-20260821.htm","primary_document_url":"https://www.sec.gov/Archives/edgar/data/1708599/000170859926000051/ser-20260821.htm"},"events":[{"id":29839,"run_id":27333,"accession_number":"0001708599-26-000051","anchor_item_number":"1.01","event_type":"dilutive_issuance","event_domain":"financial","is_material":true,"confidence":0.92,"summary":"Serina Therapeutics entered into a Common Stock Purchase Agreement with Roth Principal Investments granting the Company the right to sell up to $25,000,000 of newly issued common stock over 36 months at the Company's discretion, subject to a 19.99% exchange cap. The unregistered sale of common stock relies on Section 4(a)(2) and Rule 506(b) exemptions and represents a dilutive equity issuance to existing shareholders.","company_name":"Serina Therapeutics, Inc.","ticker":"SER","filing_date":"2026-08-26","form":"8-K","submitted_at":null,"items":[{"id":32249,"accession_number":"0001708599-26-000051","item_number":"1.01","item_title":"Entry into a Material Definitive Agreement.","event_type":"dilutive_issuance","event_domain":"financial","is_material":true,"confidence":0.92,"reasoning":"Serina Therapeutics entered into a Common Stock Purchase Agreement with Roth Principal Investments granting the Company the right to sell up to $25,000,000 of newly issued common stock at the Company's discretion over 36 months. This is a classic at-the-market (ATM) or similar equity facility arrangement where the Company retains unilateral control over timing and amount of issuances, subject to a 19.99% exchange cap. The structure—with multiple purchase windows at discounted VWAP prices and no upper limit on per-share price—is characteristic of dilutive equity issuances used by smaller public companies to raise capital. The filing explicitly notes the shares are \"newly issued,\" confirming dilution to existing shareholders.","classifier_version":"claude-haiku-4-5-20251001+prompt-a85dd512","taxonomy_version":"v1.3","classified_at":"2026-08-27T10:03:39.367252+00:00","company_name":"","ticker":null,"filing_date":""},{"id":32250,"accession_number":"0001708599-26-000051","item_number":"3.02","item_title":"Unregistered Sales of Equity Securities.","event_type":"dilutive_issuance","event_domain":"financial","is_material":true,"confidence":0.92,"reasoning":"Item 3.02 discloses an unregistered sale of common stock pursuant to a Purchase Agreement (incorporated from Item 1.01), relying on Section 4(a)(2) and Rule 506(b) exemptions. This is a classic private placement of equity securities to accredited investors without public registration—a dilutive issuance material to investors assessing capital structure and ownership dilution.","classifier_version":"claude-haiku-4-5-20251001+prompt-a85dd512","taxonomy_version":"v1.3","classified_at":"2026-08-27T10:03:39.367252+00:00","company_name":"","ticker":null,"filing_date":""}]}],"classifications":[{"id":32249,"accession_number":"0001708599-26-000051","item_number":"1.01","item_title":"Entry into a Material Definitive Agreement.","event_type":"dilutive_issuance","event_domain":"financial","is_material":true,"confidence":0.92,"reasoning":"Serina Therapeutics entered into a Common Stock Purchase Agreement with Roth Principal Investments granting the Company the right to sell up to $25,000,000 of newly issued common stock at the Company's discretion over 36 months. This is a classic at-the-market (ATM) or similar equity facility arrangement where the Company retains unilateral control over timing and amount of issuances, subject to a 19.99% exchange cap. The structure—with multiple purchase windows at discounted VWAP prices and no upper limit on per-share price—is characteristic of dilutive equity issuances used by smaller public companies to raise capital. The filing explicitly notes the shares are \"newly issued,\" confirming dilution to existing shareholders.","classifier_version":"claude-haiku-4-5-20251001+prompt-a85dd512","taxonomy_version":"v1.3","classified_at":"2026-08-27T10:03:39.367252+00:00","company_name":"Serina Therapeutics, Inc.","ticker":"SER","filing_date":"2026-08-26"},{"id":32250,"accession_number":"0001708599-26-000051","item_number":"3.02","item_title":"Unregistered Sales of Equity Securities.","event_type":"dilutive_issuance","event_domain":"financial","is_material":true,"confidence":0.92,"reasoning":"Item 3.02 discloses an unregistered sale of common stock pursuant to a Purchase Agreement (incorporated from Item 1.01), relying on Section 4(a)(2) and Rule 506(b) exemptions. This is a classic private placement of equity securities to accredited investors without public registration—a dilutive issuance material to investors assessing capital structure and ownership dilution.","classifier_version":"claude-haiku-4-5-20251001+prompt-a85dd512","taxonomy_version":"v1.3","classified_at":"2026-08-27T10:03:39.367252+00:00","company_name":"Serina Therapeutics, Inc.","ticker":"SER","filing_date":"2026-08-26"}]}