Serina Therapeutics, Inc. 8-KCurrent Reports (8-K / ad hoc)

Market for Equity / Stockholders

Item 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year. Effective as of June 17, 2026, Serina Therapeutics, Inc. (the “Company”) filed a certificate of amendment (the “Certificate of Amendment”) to the Company’s First Amended and Restated Certificate of Incorporation (as amended, the “Certificate of Incorporation”) with the Secretary of State of the State of Delaware to increase the authorized shares of the Company’s common stock, par value $0.0001 per share (“common stock”), from 40,000,000 to 125,000,000 shares. The Certificate of Amendment was approved by stockholders at the Company’s Annual Meeting as described in Item 5.07 below. The foregoing description of the Certificate of Amendment does not purport to be complete and is qualified in its entirety by reference to the full text of the Certificate of Amendment, a copy of which is filed as Exhibit 3.1 to this Current Report on Form 8-K (the “Current Report”) and is incorporated herein by reference. Item 5.07 Submission of Matters to a Vote of Security Holders. The 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. Proposal 1 Election of Three Directors Voting results for the election of directors were as follows: Nominees For Withheld Broker Non-Votes Gregory H. Bailey, M.D. 4,732,486 15,785 5,484,033 Richard Marshall, CBE, M.D., Ph.D. 4,618,312 129,959 5,484,033 Jay Venkatesan, M.D. 4,670,609 77,662 5,484,033 Accordingly, 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. Proposal 2 Approval of the Share Increase Proposal As 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: For Against Abstain Broker Non-Votes 9,066,239 478,876 687,189 — Proposal 3 Approval of the 2024