Serina Therapeutics registers 12.5 million shares for Roth Principal Investments resale

Serina Therapeutics, Inc. filed a Form S-1 with the Securities and Exchange Commission on August 24, 2026, registering up to 12,500,000 shares of its common stock for resale by Roth Principal Investments, LLC. The shares may be issued to Roth Principal Investments under a Common Stock Purchase Agreement dated August 21, 2026.¹ As of the prospectus date, no shares had yet been issued to Roth Principal Investments under that agreement.¹

Serina will not receive proceeds from Roth Principal Investments' resale of the shares. Instead, the company could take in up to $25,000,000 in gross proceeds by selling common stock to Roth Principal Investments under the purchase agreement after the prospectus date.¹ Serina also engaged Compass Point Research & Trading, LLC to serve as a qualified independent underwriter for the offering.¹

Serina's common stock trades on NYSE American under the ticker "SER," and closed at $2.87 per share on August 21, 2026.¹ As of that date, the company had 25,400,473 shares outstanding, with 10,134,655 held by non-affiliates.¹ If all 12,500,000 shares under this prospectus were issued, they would equal about 33.0% of total outstanding shares and 55.2% of shares held by non-affiliates, measured immediately after the offering.¹

On the clinical side, Serina describes itself as a clinical-stage biotechnology company developing wholly-owned drug candidates for neurological diseases using its POZ drug delivery technology.¹ Its lead candidate, SER-252 (POZ-apomorphine), a conjugate for advanced Parkinson's disease, received FDA Investigational New Drug clearance in January 2026, and Serina dosed its first patient in a Phase 1b single-ascending dose trial in February 2026.¹