Serina Therapeutics, Inc. 8-K

What Happened
Serina Therapeutics, Inc. (SER) announced it received a letter from the NYSE American on January 9, 2026 stating the company is not in compliance with the exchange’s minimum stockholders’ equity requirements. As of September 30, 2025 the company reported stockholders’ equity of $1.6 million and has recorded losses in three of its four most recent fiscal years (fiscal years ended December 31, 2024). The company filed the 8-K on January 15, 2026 and issued a related press release the same day.

Key Details

• NYSE American cited Sections 1003(a)(i)-(iii), which set equity thresholds of $2.0M, $4.0M and $6.0M depending on recent loss history.
• Serina reported $1.6 million in stockholders’ equity as of September 30, 2025.
• The company must submit a remediation Plan by February 8, 2026 and has an 18-month Cure Period to regain compliance (until July 9, 2027).
• If the NYSE American accepts the Plan, Serina will remain listed and be monitored; if not accepted, delisting proceedings may begin (the company can appeal).

Why It Matters
This notice signals a regulatory listing risk: if Serina cannot convince the NYSE American it will regain required equity levels, the stock could face delisting, which would likely reduce liquidity and may affect investor confidence and the company’s ability to raise capital. The notice does not immediately affect trading or the company’s SEC reporting obligations; however, investors should monitor the company’s submitted Plan, any updates from the NYSE American, and subsequent financial reports.