Serina Therapeutics (SER) Registration filing summary

Company overview and business model

• Clinical-stage biotechnology company focused on developing drug candidates for neurological diseases, leveraging proprietary POZ Platform™ drug delivery technology targeting CNS indications, including Parkinson's disease.

• Lead product candidate, SER-252 (POZ-apomorphine), is in Phase 1b clinical trials for advanced Parkinson's disease, with first patient dosed in February 2026.

• Principal executive offices are in Huntsville, Alabama; company is a smaller reporting company under SEC rules.

Financial performance and metrics

• As of August 21, 2026, 25,400,473 shares of common stock outstanding; 10,134,655 held by non-affiliates.

• If all 12,500,000 shares offered are issued, they would represent 33% of total outstanding shares and 55.2% of non-affiliate shares.

• Company has not generated sufficient revenues to finance operations internally and has disclosed substantial doubt about its ability to continue as a going concern.

Use of proceeds and capital allocation

• May receive up to $25,000,000 in gross proceeds from sales to Roth Principal Investments under the Purchase Agreement.

• Proceeds will be used for working capital and general corporate purposes; management retains broad discretion over allocation.