AGE / AgeX Therapeutics, Inc. - SEC Filings, Annual Report, Proxy Statement

Serina Therapeutics Announces FDA Feedback Supports Registrational Trial Design of SER-252 in Advanced Parkinson’s Disease under 505(b)(2) NDA Pathway

Serina Therapeutics Announces FDA Feedback Supports Registrational Trial Design of SER-252 in Advanced Parkinson’s Disease under 505(b)(2) NDA Pathway - U.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 25, 2025 Serina Therapeuti

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 25, 2025 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction of incorporation) (Commission

SECOND AMENDMENT TO AMENDED AND RESTATED BYLAWS SERINA THERAPEUTICS, INC. (A DELAWARE CORPORATION)

SECOND AMENDMENT TO AMENDED AND RESTATED BYLAWS OF SERINA THERAPEUTICS, INC. (A DELAWARE CORPORATION) The Amended and Restated Bylaws of Serina Therapeutics, Inc., a Delaware corporation (the “Corporation”), as amended (the “Bylaws”), are hereby amended as follows: 1.Amendments. (a)Article 9 of the Bylaws is hereby amended, restated, and replaced in its entirety with the following provisions: “ART

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 18, 2025 Serina Therapeuti

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 18, 2025 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction of incorporation) (Commission

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-38519 Serina

Serina Therapeutics Reports Second Quarter 2025 Financial Results and Provides Business Highlights

Exhibit 99.1 Serina Therapeutics Reports Second Quarter 2025 Financial Results and Provides Business Highlights HUNTSVILLE, August 11, 2025 (GLOBE NEWSWIRE) — Serina Therapeutics, Inc. (“Serina”) (NYSE American: SER), a clinical-stage biotechnology company advancing its lead IND candidate, SER-252, for advanced Parkinson's disease, enabled by its proprietary POZ Platform™ drug optimization technol

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 11, 2025 Serina Therapeuti

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 11, 2025 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction of incorporation) (Commission

Serina Therapeutics Advances POZ-VMAT2i into Development for Tardive Dyskinesia (TD)

Serina Therapeutics Advances POZ-VMAT2i into Development for Tardive Dyskinesia (TD) - Novel once-weekly injectable VMAT2 inhibitor targets underserved patients with serious adherence and access challenges – - Potential expansion into Huntington’s chorea – an underserved indication with high need for long-acting VMAT2 therapy - HUNTSVILLE, AL, July 29, 2025 (GLOBE NEWSWIRE) - Serina Therapeutics, Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): July 29, 2025 Serina Therapeutics

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): July 29, 2025 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction of incorporation) (Commission F

POZ Platform® June 2025 Non-Confidential • Next Generation Drug Product Optimization Platform Ticker (NYSE American): SER Shares outstanding: 10.0M Insider Ownership: 45% • Enabling Improvements of Multiple Drug Modalities Forward Looking Statements

serinajuly2025corporate POZ Platform® June 2025 Non-Confidential • Next Generation Drug Product Optimization Platform Ticker (NYSE American): SER Shares outstanding: 10.

Regulation FD Disclosure, Financial Statements and Exhibits, Other Events, Shareholder Director Nominations

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): July 1, 2025 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction of incorporation) (Commission Fi

Serina Therapeutics Announces Date for 2025 Annual Stockholders Meeting

Serina Therapeutics Announces Date for 2025 Annual Stockholders Meeting HUNTSVILLE, July 1, 2025 (GLOBE NEWSWIRE) - Serina Therapeutics, Inc.

Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): May 22, 2025 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction of incorporation) (Commission Fi

Certificate of Correction,

CERTIFICATE OF CORRECTION OF SERINA THERAPEUTICS, INC. Pursuant to Section 103 of the Delaware General Corporation Law, as amended (the “DGCL”), the undersigned corporation, Serina Therapeutics, Inc., a Delaware corporation (the “Corporation”), hereby adopts the following Certificate of Correction to the Certificate of Designations of Preferences, Rights and Limitations of Series A Convertible Pre

- Renowned neuroscience drug developer joins to support strategic development of long-acting CNS therapeutics –

Serina Therapeutics Appoints Stephen Brannan, M.D. to Board of Directors - Renowned neuroscience drug developer joins to support strategic development of long-acting CNS therapeutics – HUNTSVILLE, AL, May 22, 2025 (GLOBE NEWSWIRE) — Serina Therapeutics, Inc. (“Serina”) (NYSE American: SER), a clinical-stage biotechnology company developing a pipeline of product candidates leveraging its proprietar

Serina Therapeutics Reports First Quarter 2025 Financial Results and Provides Business Highlights

Exhibit 99.1 Serina Therapeutics Reports First Quarter 2025 Financial Results and Provides Business Highlights •On track for first patient dosing of SER-252 in Phase 1b clinical trial in advanced Parkinson’s disease in Q4 2025 •Strengthened balance sheet with recent financing •Advancing innovative POZ Platform across multiple therapeutic modalities •Two new seasoned biotech leaders added to the Bo

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-38519 Serin

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): May 8, 2025 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction of incorporation) (Commission Fil

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): April 25, 2025 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction of incorporation) (Commission

Capital on Demand™ Sales Agreement, dated as of April 25, 2025, by and between the Company and JonesTrading Institutional Services LLC

Serina Therapeutics, Inc. Common Stock ($0.0001 par value per share) Capital on Demand™ Sales Agreement April 25, 2025 JonesTrading Institutional Services LLC 325 Hudson Street, 6th Floor New York, NY 10013 Ladies and Gentlemen: Serina Therapeutics, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with JonesTrading Institutional Services LLC (the “Agent”), as

Description of Securities

DESCRIPTION OF SECURITIES The following description of our capital stock is intended as a summary only and therefore is not a complete description of our capital stock.

Up to $13,270,500 Common Stock

Filed Pursuant to Rule 424(b)(5) Registration No. 333-286340 PROSPECTUS SUPPLEMENT (To Prospectus dated April 10, 2025) Up to $13,270,500 Common Stock We have entered into a Capital on DemandTM Sales Agreement, dated April 25, 2025 (the “Sales Agreement”) with JonesTrading Institutional Services LLC (“Jones”), relating to the offer and sale of shares of our common stock, par value $0.0001 per shar

SERINA THERAPEUTICS, INC. 601 Genome Way, Suite 2001 Huntsville, Alabama 35806 April 24, 2025

SERINA THERAPEUTICS, INC. 601 Genome Way, Suite 2001 Huntsville, Alabama 35806 April 24, 2025 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 Re: Request for Acceleration of Effectiveness Serina Therapeutics, Inc. Registration Statement on Form S-3 File No. 333-286620 Ladies and Gentlemen: The undersigned, Serina Th

Agreement, dated November 26, 2024, by and between Serina Therapeutics, Inc., Juvenescence Limited, and JuvVentures (UK) Limited.

Exhibit 4.1 EXECUTION VERSION AGREEMENT This Agreement (together with all exhibits and schedules hereto, this “Agreement”) is entered into as of November 26, 2024, by and between Serina Therapeutics, Inc., a Delaware corporation (the “Company”), Juvenescence Limited, a private limited company incorporated under the laws of the Isle of Man (“Juv”) and JuvVentures (UK) Limited, a private limited com

As filed with the Securities and Exchange Commission on April 17, 2025.

As filed with the Securities and Exchange Commission on April 17, 2025. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SERINA THERAPEUTICS, INC. (Exact Name of Registrant as Specified in our Charter) Delaware 2834 82-1436829 (State or Other Jurisdiction of Incorporation or Organization)

Filing Fee Table

Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Serina Therapeutics, Inc.

Serina Therapeutics to Present at the 4th LNP Formulation & Process Development Summit

Serina Therapeutics to Present at the 4th LNP Formulation & Process Development Summit HUNTSVILLE, AL, April 15, 2025 (GLOBE NEWSWIRE) - Serina Therapeutics, Inc.

HIGHLY CONFIDENTIAL & TRADE SECRET 1 April 15, 2025 4th LNP Formulation & Process Development Summit – Boston, MA “The PEG Dilemma” – A Solution Randall Moreadith, MD, PhD, Chief Development Officer [email protected] Small Molecules1

HIGHLY CONFIDENTIAL & TRADE SECRET 1 April 15, 2025 4th LNP Formulation & Process Development Summit – Boston, MA “The PEG Dilemma” – A Solution Randall Moreadith, MD, PhD, Chief Development Officer rmoreadith@serinatherapeutics.

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): April 15, 2025 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction of incorporation) (Commission

Regulation FD Disclosure, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Material Modification to Rights of Security Holders, Unregistered Sales of Equity Securities, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): April 8, 2025 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction of incorporation) (Commission F

Certificate of Designations

CERTIFICATE OF DESIGNATIONS OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES A CONVERTIBLE PREFERRED STOCK OF SERINA THERAPEUTICS, INC.

Securities Purchase Agreement,

EXECUTION VERSION SECURITIES PURCHASE AGREEMENT This Agreement (together with all exhibits and schedules hereto, this “Agreement”) is entered into as of April 8, 2025, by and between Serina Therapeutics, Inc.

Serina Therapeutics Secures $5 Million in Funding to Support Advancement of SER-252 into Clinical Development in Advanced Parkinson's Disease

Exhibit 99.1 Serina Therapeutics Secures $5 Million in Funding to Support Advancement of SER-252 into Clinical Development in Advanced Parkinson's Disease HUNTSVILLE, April 8, 2025 (GLOBE NEWSWIRE) - Serina Therapeutics, Inc. (“Serina”) (NYSE American: SER), a clinical-stage biotechnology company developing its proprietary POZ Platform™ drug optimization technology, today announced the closing of

SERINA THERAPEUTICS, INC. 601 Genome Way, Suite 2001 Huntsville, Alabama 35806 April 8, 2025

SERINA THERAPEUTICS, INC. 601 Genome Way, Suite 2001 Huntsville, Alabama 35806 April 8, 2025 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 Re: Request for Acceleration of Effectiveness Serina Therapeutics, Inc. Registration Statement on Form S-3 File No. 333-286340 Ladies and Gentlemen: The undersigned, Serina The

New / improved small molecule drugs POZ Platform® April 2025 Non-Confidential Small Molecules Enabling Improvements of Multiple Drug Modalities Optimized targeting & reduced immunogenicity RNA Improved delivery of cancer-killing toxins ADCs Forward L

New / improved small molecule drugs POZ Platform® April 2025 Non-Confidential Small Molecules Enabling Improvements of Multiple Drug Modalities Optimized targeting & reduced immunogenicity RNA Improved delivery of cancer-killing toxins ADCs Forward Looking Statements NON-CONFIDENTIAL 2 This presentation contains forward-looking statements that are based on management’s beliefs and assumptions and on information currently available to management.

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): April 7, 2025 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction of incorporation) (Commission F

Serina Therapeutics to Present at the Jones Healthcare and Technology Innovation Conference

Serina Therapeutics to Present at the Jones Healthcare and Technology Innovation Conference HUNTSVILLE, AL, April 7, 2025 (GLOBE NEWSWIRE) - Serina Therapeutics, Inc.

Filing Fee Table

Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Serina Therapeutics, Inc.

As filed with the Securities and Exchange Commission on April 2, 2025.

As filed with the Securities and Exchange Commission on April 2, 2025. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SERINA THERAPEUTICS, INC. (Exact Name of Registrant as Specified in our Charter) Delaware 2834 82-1436829 (State or Other Jurisdiction of Incorporation or Organization) (

As filed with the Securities and Exchange Commission on April 2, 2025

As filed with the Securities and Exchange Commission on April 2, 2025 Registration No.

Filing Fee Table

Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Serina Therapeutics, Inc.

orm of Subordinated Indenture

Exhibit 4.2 SERINA THERAPEUTICS, INC. Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of [ ] Subordinated Debt Securities TABLE OF CONTENTS1 Page Article 1 DEFINITIONS 1 Section 1.01 Definitions of Terms 1 Article 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 4 Section 2.01 Designation and Terms of Securities. 4 Section 2.02 Form of Securities and Trustee’s Certi

orm of Senior I

Exhibit 4.1 SERINA THERAPEUTICS, INC. Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of [ ] Senior Debt Securities TABLE OF CONTENTS1 Page Article 1 DEFINITIONS 1 Section 1.01 Definitions of Terms 1 Article 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 4 Section 2.01 Designation and Terms of Securities. 4 Section 2.02 Form of Securities and Trustee’s Certificate

Amended and Restated Certificate of Incorporation of Serina Therapeutics, Inc.

Exhibit 3.1 FIRST AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF AGEX Therapeutics, INC. The undersigned, AgeX Therapeutics, Inc., a corporation organized and existing under the General Corporation Law of the State of Delaware, for the purpose of amending and restating its Certificate of Incorporation in its entirety, DOES HEREBY CERTIFY: FIRST: That the current name of the corporation is Ag

List of Subsidiaries

Exhibit 21.1 LIST OF SUBSIDIARIES Subsidiary Ownership Country Serina Therapeutics (AL), Inc. 100% USA NeuroAirmid Therapeutics, Inc. 50% USA

Serina Therapeutics, Inc. Insider Trading Policy

Exhibit 19.1 Serina Therapeutics, Inc. Insider Trading Policy Introduction During the course of your relationship with Serina Therapeutics, Inc. (“Serina”), you may receive material information that is not yet publicly available (“material nonpublic information”) about Serina or other publicly traded companies that Serina has business relationships with. Material nonpublic information may give you

Serina Therapeutics, Inc. Primary Offering of Up to 3,000,568 Shares of common stock Issuable Upon Exercise of Warrants and Up to 1,500,284 Warrants to Purchase Shares of common stock Secondary Offering of Up to 1,889,321 Shares of common stock Issua

Filed pursuant to Rule 424(b)(3) Registration No: 333- 279121 PROSPECTUS SUPPLEMENT NO.

Serina Therapeutics, Inc. Clawback Policy

Exhibit 97.1 Serina THERAPEUTICS, INC. CLAWBACK POLICY The Board of Directors (the “Board”) of Serina Therapeutics. Inc. (the “Company”) believes that it is in the best interests of the Company and its stockholders to adopt this Clawback Policy (the “Policy”), which provides for the recovery of certain incentive compensation in the event of an Accounting Restatement (as defined below). This Policy

Agreement, dated November 26, 2024, between Serina Therapeutics, Inc. and Juvenescence Limited.

Exhibit 10.41 EXECUTION VERSION AGREEMENT This Agreement (together with all exhibits and schedules hereto, this “Agreement”) is entered into as of November 26, 2024, by and between Serina Therapeutics, Inc., a Delaware corporation (the “Company”), Juvenescence Limited, a private limited company incorporated under the laws of the Isle of Man (“Juv”) and JuvVentures (UK) Limited, a private limited c

As filed with the Securities and Exchange Commission on March 24, 2025.

As filed with the Securities and Exchange Commission on March 24, 2025. Registration No. 333-279121 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SERINA THERAPEUTICS, INC. (Exact Name of Registrant as Specified in our Charter) Delaware 2834 82-1436829 (State or Other Jurisdi

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): March 24, 2025 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction of incorporation) (Commission

Serina Therapeutics to Present at the American Chemistry Society (ACS) Spring 2025 Meeting

Serina Therapeutics to Present at the American Chemistry Society (ACS) Spring 2025 Meeting HUNTSVILLE, AL, March 24, 2025 (GLOBE NEWSWIRE) - Serina Therapeutics, Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 o TRANSITION REPORT PURSUANT TO SECTI

Table of Content UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-38519 Serina Ther

Agreement, dated November 26, 2024, between Serina Therapeutics, Inc. and Juvenescence Limited.

EXECUTION VERSION AGREEMENT This Agreement (together with all exhibits and schedules hereto, this “Agreement”) is entered into as of November 26, 2024, by and between Serina Therapeutics, Inc.

HIGHLY CONFIDENTIAL & TRADE SECRET 1 March 2025 ACS – Division of Polymer Chemistry Characterization of Poly(oxazoline) Lipid Nanoparticles (LNP) A Non-immunogenic LNP for Gene Delivery Randall Moreadith, MD, PhD, Chief Development Officer rmoreadith

HIGHLY CONFIDENTIAL & TRADE SECRET 1 March 2025 ACS – Division of Polymer Chemistry Characterization of Poly(oxazoline) Lipid Nanoparticles (LNP) A Non-immunogenic LNP for Gene Delivery Randall Moreadith, MD, PhD, Chief Development Officer rmoreadith@serinatherapeutics.

List of Subsidiaries

Exhibit 21.1 LIST OF SUBSIDIARIES Subsidiary Ownership Country Serina Therapeutics (AL), Inc. 100% USA NeuroAirmid Therapeutics, Inc. 50% USA

Serina Therapeutics, Inc. Clawback Policy

SERINA THERAPEUTICS, INC. CLAWBACK POLICY The Board of Directors (the “Board”) of Serina Therapeutics. Inc. (the “Company”) believes that it is in the best interests of the Company and its stockholders to adopt this Clawback Policy (the “Policy”), which provides for the recovery of certain incentive compensation in the event of an Accounting Restatement (as defined below). This Policy is designed

Serina Therapeutics Reports Full Year 2024 Financial Results and Recent Business Highlights

Exhibit 99.1 Serina Therapeutics Reports Full Year 2024 Financial Results and Recent Business Highlights HUNTSVILLE, March 24, 2025 (GLOBE NEWSWIRE) — Serina Therapeutics, Inc. (“Serina”) (NYSE American: SER), a clinical-stage biotechnology company developing its proprietary POZ Platform™ drug optimization technology, today reported its financial results for the full year ended December 31, 2024 a

Serina Therapeutics, Inc. Insider Trading Policy

Serina Therapeutics, Inc. Insider Trading Policy Introduction During the course of your relationship with Serina Therapeutics, Inc. (“Serina”), you may receive material information that is not yet publicly available (“material nonpublic information”) about Serina or other publicly traded companies that Serina has business relationships with. Material nonpublic information may give you, or someone

Amended and Restated Certificate of Incorporation of Serina Therapeutics, Inc.

FIRST AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF AGEX THERAPEUTICS, INC.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): March 24, 2025 Serina Therapeutic

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): March 24, 2025 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction of incorporation) (Commission

Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): February 11, 2025 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction of incorporation) (Commissi

Serina Therapeutics Appoints Dr. Jay Venkatesan to its Board of Directors

Serina Therapeutics Appoints Dr. Jay Venkatesan to its Board of Directors HUNTSVILLE, AL, Feb.12, 2025 (GLOBE NEWSWIRE) - Serina Therapeutics, Inc. (“Serina”) (NYSE American: SER), a clinical-stage biotechnology company developing its proprietary POZ Platform™ drug optimization technology, today announced the appointment of Jay Venkatesan, MD, MBA, to its Board of Directors. Dr. Venkatesan brings

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): February 3, 2025 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction of incorporation) (Commissio

Serina Therapeutics Receives Second $5 Million Tranche to Strengthen Cash Position Ahead of Phase 1 Clinical Trial in Advanced Parkinson's Disease Patients

Exhibit 99.1 Serina Therapeutics Receives Second $5 Million Tranche to Strengthen Cash Position Ahead of Phase 1 Clinical Trial in Advanced Parkinson's Disease Patients HUNTSVILLE, February 3, 2025 (GLOBE NEWSWIRE) - Serina Therapeutics, Inc. (“Serina”) (NYSE American: SER), a clinical-stage biotechnology company, today announced the successful closing of the second $5 million tranche of its previ

Serina Therapeutics Welcomes Karen J. Wilson to its Board of Directors

Serina Therapeutics Welcomes Karen J. Wilson to its Board of Directors HUNTSVILLE, AL, Jan. 14, 2025 (GLOBE NEWSWIRE) - Serina Therapeutics, Inc. (“Serina”) (NYSE American: SER), a clinical-stage biotechnology company developing its proprietary POZ Platform™ drug delivery technology, today announced the appointment of Karen J. Wilson to the Board of Directors. "We are excited to welcome Karen to t

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): January 14, 2025 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction of incorporation) (Commissio

New / improved small molecule drugs POZ Platform® December 2024 Non confidential Small Molecules Enabling Improvements of Multiple Drug Modalities Optimized targeting & reduced immunogenicity RNA Improved delivery of cancer-killing toxins ADCs Forwar

New / improved small molecule drugs POZ Platform® December 2024 Non confidential Small Molecules Enabling Improvements of Multiple Drug Modalities Optimized targeting & reduced immunogenicity RNA Improved delivery of cancer-killing toxins ADCs Forward Looking Statements NON CONFIDENTIAL 2 This presentation contains forward-looking statements that are based on management’s beliefs and assumptions and on information currently available to management.

Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): January 6, 2025 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction of incorporation) (Commission

Stock Purchase Agreement dated December 23, 2024, between Serina Therapeutics, Inc. and Juvenescence Limited.

STOCK PURCHASE AGREEMENT This Stock Purchase Agreement (this “Agreement”), effective as of 11:59 pm on December 23, 2024, is entered into between Serina Therapeutics, Inc.

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): December 23, 2024 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction of incorporation) (Commissi

2024 Equity Incentive Plan, as amended.

SERINA THERAPEUTICS, INC. 2024 EQUITY INCENTIVE PLAN, AS AMENDED (Amended by the Stockholders as of December 13, 2024) 1.Purpose; Eligibility. 1.1General Purpose. The name of this plan is the Serina Therapeutics, Inc. 2024 Equity Incentive Plan. The purposes of the Plan are to (a) enable the Company to attract and retain the types of Employees, Consultants, and Directors who will contribute to the

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): December 13, 2024 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction of incorporation) (Commissi

Serina Therapeutics to Present at the 3rd Annual LNP Immunogenicity & Toxicity Summit

Exhibit 99.2 Serina Therapeutics to Present at the 3rd Annual LNP Immunogenicity & Toxicity Summit HUNTSVILLE, AL, December 11, 2024 (GLOBE NEWSWIRE) — Serina Therapeutics, Inc. (“Serina”) (NYSE American: SER), a clinical-stage biotechnology company developing its proprietary POZ Platform™ drug delivery technology, announced that Serina Therapeutics’ Chief Development Officer, Randall Moreadith, M

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): December 11, 2024 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction of incorporation) (Commissi

Presentation of Serina Therapeutics, Inc. to be used beginning December 11, 2024

Exhibit 99.1

Juvenescence Ltd - SC 13D/A

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No.

Serina Therapeutics Secures $10 Million Financing to Continue Advancing Lead IND Candidate into Phase 1 Clinical Trial in Advanced Parkinson’s Disease Patients

Exhibit 99.1 Serina Therapeutics Secures $10 Million Financing to Continue Advancing Lead IND Candidate into Phase 1 Clinical Trial in Advanced Parkinson’s Disease Patients HUNTSVILLE, December 2, 2024 (GLOBE NEWSWIRE) — Serina Therapeutics, Inc. (“Serina”) (NYSE American: SER), a clinical-stage biotechnology company, today announced a $10 million equity financing with strategic shareholder JuvVen

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Other Events, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): November 26, 2024 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer o

Serina Therapeutics, Inc. Primary Offering of Up to 3,000,568 Shares of common stock Issuable Upon Exercise of Warrants and Up to 1,500,284 Warrants to Purchase Shares of common stock Secondary Offering of Up to 1,889,321 Shares of common stock Issua

Filed pursuant to Rule 424(b)(3) Registration No: 333- 279121 PROSPECTUS SUPPLEMENT NO.

SER / Serina Therapeutics, Inc. / BROADWOOD PARTNERS, L.P. Passive Investment

SC 13G/A 1 d810949113g-a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Serina Therapeutics, Inc.1 (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 81751A108 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-38519 S

Serina Therapeutics Reports Third Quarter 2024 Financial Results and Provides Business Highlights

Exhibit 99.1 Serina Therapeutics Reports Third Quarter 2024 Financial Results and Provides Business Highlights HUNTSVILLE, November 12, 2024 (GLOBE NEWSWIRE) — Serina Therapeutics, Inc. (“Serina”) (NYSE American: SER), a clinical-stage biotechnology company advancing its lead IND candidate SER-252 for advanced Parkinson’s disease, enabled by its proprietary POZ Platform™ drug optimization technolo

Employment Agreement, dated as of July 15, 2024, by and between Serina Therapeutics, Inc. and Srini Tenjarla

EXECUTIVE EMPLOYMENT AGREEMENT (Srini Tenjarla) This Executive Employment Agreement (“Agreement”) is made and entered into effective as of the 15th day of July, 2024 (the “Effective Date”), by and between Serina Therapeutics, Inc.

Confidential Consulting Agreement, dated as of May 31, 2024, by and between Serina Therapeutics, Inc. and FLG Partners, LLC

CONFIDENTIAL CONSULTING AGREEMENT This Confidential Consulting Agreement (the “Agreement”) is executed as of the date shown on the signature page (the “Effective Date”), by and between FLG Partners, LLC, a California limited liability company (“FLG”), and the entity identified on the signature page (“Client”).

Results of Operations and Financial Condition, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): November 12, 2024 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction of incorporation) (Commissi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of

Presentation of Serina Therapeutics, Inc. to be used beginning October 2, 2024

Exhibit 99.1

Serina Therapeutics to Present at the 14th Annual Injectables Summit

Exhibit 99.2 Serina Therapeutics to Present at the 14th Annual Injectables Summit HUNTSVILLE, AL, October 2, 2024 (GLOBE NEWSWIRE) — Serina Therapeutics, Inc. (“Serina”) (NYSE American: SER), a clinical-stage biotechnology company developing its proprietary POZ Platform™ drug delivery technology, announced that Serina Therapeutics’ Chief Development Officer, Randall Moreadith, MD, PhD, will be pre

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): October 2, 2024 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer of

Employment Agreement, effective as of September 9, 2024, among Serina Therapeutics, Inc., Serina Therapeutics (AL), Inc. and Steve Ledger.

Exhibit 10.1 EMPLOYMENT AGREEMENT (Steven Ledger) This Employment Agreement (“Agreement”) is made and entered into effective as of the day of September, 2024 (the “Effective Date”), by and between (i) Serina Therapeutics, Inc., a Delaware corporation (“Serina (DE)”), (ii) Serina Therapeutics (AL), Inc. (“Serina (AL)”), an Alabama corporation, and (iii) Steve Ledger (the “Executive”). Each of Serin

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): September 8, 2024 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer o

Serina Therapeutics to Present at the H.C. Wainwright 26th Annual Global Investment Conference

Exhibit 99.1 Serina Therapeutics to Present at the H.C. Wainwright 26th Annual Global Investment Conference HUNTSVILLE, September 4, 2024 (GLOBE NEWSWIRE) — Serina Therapeutics (“Serina”) (NYSE American: SER), a clinical-stage biotechnology company developing its proprietary POZ Platform™ drug delivery technology, today announced that Steve Ledger, Interim Chief Executive Officer of Serina, will p

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): September 4, 2024 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer o

Serina Therapeutics Inc. 2024 Inducement Equity Plan.

Exhibit 10.1 SERINA THERAPEUTICS, INC. 2024 INDUcEMENT EQUITY PLAN 1. Purpose; Eligibility. 1.1 General Purpose. The name of this plan is the Serina Therapeutics, Inc. 2024 Inducement Equity Plan. The purpose of the Plan is to provide equity-based Awards to individuals not previously Employees or Non-Employee Directors, or following a bona fide period of non-employment, as an inducement material t

Filing Fee Table

Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Serina Therapeutics, Inc.

As filed with the Securities and Exchange Commission on August 23, 2024

As filed with the Securities and Exchange Commission on August 23, 2024 Registration No.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 12, 2024 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer of

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-38519 Serina Therapeutics, Inc

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 9, 2024 Serina Therapeutic

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 9, 2024 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer of i

Serina Therapeutics Reports Second Quarter 2024 Financial Results and Provides Business Highlights

Exhibit 99.1 Serina Therapeutics Reports Second Quarter 2024 Financial Results and Provides Business Highlights HUNTSVILLE, August 9, 2024 (GLOBE NEWSWIRE) — Serina Therapeutics (“Serina”) (NYSE American: SER), a clinical-stage biotechnology company developing its proprietary POZ Platform™ drug delivery technology, today reported financial results for the quarter ended June 30, 2024 and provided b

Serina Therapeutics to Present Novel Data on POZ-Lipid Technology Potentially Enhancing Safety and Efficacy of mRNA LNP Formulations at the 4th mRNA-Based Therapeutics Summit

Exhibit 99.2 Serina Therapeutics to Present Novel Data on POZ-Lipid Technology Potentially Enhancing Safety and Efficacy of mRNA LNP Formulations at the 4th mRNA-Based Therapeutics Summit HUNTSVILLE, Jul. 29, 2024 (GLOBE NEWSWIRE) — Serina Therapeutics (“Serina”) (NYSE American: SER), a clinical-stage biotechnology company developing its proprietary POZ PlatformTM drug delivery technology, today a

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): July 29, 2024 Serina Therapeutics

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): July 29, 2024 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer of in

Presentation of Serina Therapeutics, Inc. to be used beginning July 29, 2024

Exhibit 99.1

Serina Therapeutics Appoints Srini Tenjarla, Ph.D. as Senior Vice President of CMC and Formulation

Exhibit 99.1 Serina Therapeutics Appoints Srini Tenjarla, Ph.D. as Senior Vice President of CMC and Formulation HUNTSVILLE, AL, July 18, 2024 (GLOBE NEWSWIRE) — Serina Therapeutics, Inc. (“Serina”) (NYSE American: SER), a clinical-stage biotechnology company developing its proprietary POZ Platform™ drug delivery technology, today announced the appointment of Dr. Srini Tenjarla as the new Senior Vi

Other Events, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): July 15, 2024 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer of in

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): July 9, 2024 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction of incorporation) (Commission Fi

Serina Therapeutics, Inc. 601 Genome Way Suite 2001 Huntsville, Alabama 35806 (256) 327-9630 July 5, 2024

Serina Therapeutics, Inc. 601 Genome Way Suite 2001 Huntsville, Alabama 35806 (256) 327-9630 July 5, 2024 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, NE Washington, D.C. 20549 Attention: Tim Buchmiller and Lauren Hamill Re: Serina Therapeutics, Inc. Registration Statement on Form S-1 File No. 333-279121 Ladies and

Juvenescence Ltd - SC 13D/A

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No.

As filed with the Securities and Exchange Commission on July 3, 2024.

As filed with the Securities and Exchange Commission on July 3, 2024. Registration No. 333-279121 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 2 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SERINA THERAPEUTICS, INC. (Exact Name of Registrant as Specified in our Charter) Delaware 2834 82-1436829 (State or Other Jurisdiction of Incorpor

As filed with the Securities and Exchange Commission on June 14, 2024

As filed with the Securities and Exchange Commission on June 14, 2024 Registration No.

Filing Fee Table

Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Serina Therapeutics, Inc.

As filed with the Securities and Exchange Commission on June 14, 2024.

As filed with the Securities and Exchange Commission on June 14, 2024. Registration No. 333-279121 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SERINA THERAPEUTICS, INC. (Exact Name of Registrant as Specified in our Charter) Delaware 2834 82-1436829 (State or Other Jurisdiction of Incorpo

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): June 6, 2024 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer of inc

Eighth Amendment to Amended and Restated Convertible Promissory Note dated May 8, 2024, between UniverXome Bioengineering, Inc. and Juvenescence Limited

Exhibit 10.6 ALLONGE AND EIGHTH AMENDMENT TO AMENDED AND RESTATED CONVERTIBLE PROMISSORY NOTE This Allonge and Eighth Amendment to Amended and Restated Convertible Promissory Note (this “Amendment”) by and between UniverXome Bioengineering, Inc., a Delaware corporation (“Borrower”), the Guarantors party hereto, and Juvenescence Limited, a company incorporated in the Isle of Man (“Lender”) is effec

Results of Operations and Financial Condition, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): May 14, 2024 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer of inc

Serina Therapeutics Reports First Quarter 2024 Financial Results and Provides Business Highlights

Exhibit 99.1 Serina Therapeutics Reports First Quarter 2024 Financial Results and Provides Business Highlights HUNTSVILLE, May 14, 2024 (GLOBE NEWSWIRE) — Serina Therapeutics (“Serina”) (NYSE American: SER), a clinical-stage biotechnology company developing its proprietary POZ Platform™ drug delivery technology, today reported financial results for the quarter ended March 31, 2024 and provided bus

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-38519 Serina Therapeutics, In

As filed with the Securities and Exchange Commission on May 3, 2024.

As filed with the Securities and Exchange Commission on May 3, 2024. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SERINA THERAPEUTICS, INC. (Exact Name of Registrant as Specified in our Charter) Delaware 2834 82-1436829 (State or Other Jurisdiction of Incorporation or Organization) (Pr

Filing Fee Table

Exhibit 107 Calculation of Filing Fee Table Form S-1 (Form Type) Serina Therapeutics, Inc.

Changes in Registrant's Certifying Accountant, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): April 29, 2024 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer of i

Letter of WithumSmith+Brown, PC to the Securities and Exchange Commission, dated May 3, 2024

Exhibit 16.1 May 3, 2024 Office of the Chief Accountant Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Ladies and Gentlemen: We have read statements included under Item 4.01 of the Form 8-K of Serina Therapeutics, Inc. (formerly known as AgeX Therapeutics, Inc.) dated May 3, 2024. We agree with the statements concerning our Firm under Item 4.01, in which we were informe

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): April 12, 2024 Serina Therapeutic

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): April 12, 2024 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer of i

Executive Chairman Agreement

Exhibit 10.1 EXECUTIVE CHAIRMAN AGREEMENT THIS CHAIRMAN AGREEMENT (this “Agreement”) is made as of the 12th day of April, 2024 (the “Effective Date”), by and between Serina Therapeutics, Inc., a Delaware corporation (the “Company”), and Balkrishan “Simba” Gill (the “Chairman”). WHEREAS, on and after the Effective Date, the Chairman will serve on the Board of Directors of the Company (the “Board”),

Serina Therapeutics Appoints Dr. Simba Gill as Executive Chairman - Dr. Gill brings extensive leadership experience in transformative biotechnology platforms and drug development -

Exhibit 99.1 Serina Therapeutics Appoints Dr. Simba Gill as Executive Chairman - Dr. Gill brings extensive leadership experience in transformative biotechnology platforms and drug development - HUNTSVILLE, AL, April 17, 2024 (GLOBE NEWSWIRE) — Serina Therapeutics, Inc. (NYSE American: SER), a clinical-stage biotechnology company focused on developing its proprietary POZ PlatformTM drug delivery te

Moreadith Randall

SC 13D 1 formsc13-d.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.)* Serina Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 81751A108 (CUSIP Number) Randall Moreadith c/o Serina Therapeutics, Inc. 601 Genome Way, Suite 2001 Huntsville, Alab

List of Subsidiaries

Exhibit 21.1 LIST OF SUBSIDIARIES Subsidiary Ownership Country Serina Therapeutics (AL), Inc. 100% USA NeuroAirmid Therapeutics, Inc. 50% USA ReCyte Therapeutics, Inc. 94.8% USA Reverse Bioengineering, Inc. 100% USA UniverXome Bioengineering, Inc. 100% USA

SERINA MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS

Exhibit 99.4 SERINA MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS On March 26, 2024, the Delaware corporation formerly known as “AgeX Therapeutics, Inc.” completed its previously announced merger transaction in accordance with the terms and conditions of the Agreement and Plan of Merger and Reorganization, dated as of August 29, 2023 (the “Merger Agreement”)

Seventh Amendment to Amended and Restated Convertible Promissory Note, dated March 26, 2024, between AgeX Therapeutics, Inc., the Guarantors party thereto and Juvenescence Limited

Exhibit 10.1 ALLONGE AND SEVENTH AMENDMENT TO AMENDED AND RESTATED CONVERTIBLE PROMISSORY NOTE This Allonge and Seventh Amendment to Amended and Restated Convertible Promissory Note (this “Amendment”) by and between AgeX Therapeutics, Inc., a Delaware corporation (“Borrower”), the Guarantors party hereto, and Juvenescence Limited, a company incorporated in the Isle of Man (“Lender”) is effective a

UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION

Exhibit 99.3 UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION On August 29, 2023, AgeX Therapeutics, Inc. (AgeX) entered into the Agreement and Plan of Merger and Reorganization (as may be amended from time to time, the Merger Agreement) with Serina Therapeutics Inc. (Serina) and Canaria Transaction Corporation (Merger Sub), pursuant to which, among other matters, and subject to the sa

SERINA THERAPEUTICS, INC. FINANCIAL STATEMENTS DECEMBER 31, 2023 and 2022 TABLE OF CONTENTS

Exhibit 99.2 SERINA THERAPEUTICS, INC. FINANCIAL STATEMENTS DECEMBER 31, 2023 and 2022 TABLE OF CONTENTS INDEPENDENT AUDITOR’S REPORT 1 FINANCIAL STATEMENTS Balance Sheets 2 Statements of Operations 3 Statements of Redeemable Convertible Preferred Stock and Stockholders’ Deficit 4 Statements of Cash Flows 6 Notes to Financial Statements 7 REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To

Changes in Control of Registrant, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Material Modification to Rights of Security Holders, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Completion of Acquisition or Disposition of Assets, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): March 26, 2024 Serina Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer of i

Agreement with respect to Convertible Notes dated March 26, 2024, among AgeX Therapeutics, Inc., UniverXome Bioengineering, Inc., the Subsidiary Obligors and Juvenescence Limited

Exhibit 10.2 AGREEMENT WITH RESPECT TO CONVERTIBLE NOTES March 26, 2024 (the “Effective Date”) WHEREAS, AgeX Therapeutics, Inc., a Delaware corporation (the “AgeX”), is the Borrower referenced in that certain Secured Convertible Promissory Note, dated February 14, 2022 payable to Juvenescence Limited, a company incorporated in the Isle of Man (the “Holder”), as modified by that certain Amended and

Director Compensation Policy

Exhibit 10.5 SERINA THERAPEUTICS, INC. DIRECTOR COMPENSATION POLICY (Adopted and approved on March 27, 2024) Each member of the Board of Directors (the “Board”) of Serina Therapeutics, Inc. (the “Company”) who is not an employee of the Company (each such member, an “Outside Director”) will receive the compensation described in this Outside Director Compensation Policy (the “Director Compensation P

Form of Stock Option Agreement

Exhibit 10.8 FORM OF NON-QUALIFIED STOCK OPTION AGREEMENT THIS NON-QUALIFIED STOCK OPTION AGREEMENT (the “Agreement”) is made and entered into effective as of, 20XX (the “Grant Date”), by and between Serina Therapeutics, Inc., a Delaware corporation (the “Company”), and (“Participant”), an Employee, Consultant, or Director (as such terms are defined in the Plan) of the Company or of a subsidiary o

Serina Therapeutics, Inc. 2017 Stock Option Plan

Exhibit 10.6 AMENDED AND REStATED SERINA THERAPEUTICS, INC. 2017 STOCK OPTION PLAN 1. Purpose; Eligibility. 1.1 General Purpose. The name of this plan is the Amended and Restated Serina Therapeutics, Inc. 2017 Stock Option Plan. The purposes of the Plan are to (a) enable the Company to attract and retain the types of Employees, Consultants, and Directors who will contribute to the Company’s long-r

Serina Therapeutics Announces Completion of Merger with AgeX Therapeutics

Exhibit 99.1 Serina Therapeutics Announces Completion of Merger with AgeX Therapeutics ■ Shares of Serina to commence trading on NYSE American under the ticker symbol “SER” on March 27, 2024 ■ Lead candidate SER-252, POZ-apomorphine preclinical studies anticipated to be completed in the fourth quarter of 2024; IND submission to the FDA for the initiation of a Phase I clinical trial planned for 202

Asset Contribution Agreement dated March 26, 2024 between AgeX Therapeutics, Inc. and UniverXome Bioengineering, Inc.

Exhibit 10.3 ASSET CONTRIBUTION AGREEMENT THIS ASSET CONTRIBUTION AGREEMENT (this “Agreement”) is entered into as of March 26, 2024 (the “Effective Date”), by and between AgeX Therapeutics, Inc., a Delaware corporation (“AgeX”), and UniverXome Bioengineering, Inc., a Delaware corporation (“UniverXome”). Certain capitalized terms used in this Agreement are defined in Exhibit A. BACKGROUND WHEREAS,

Form of Indemnification Agreement for Officers and Directors

Exhibit 10.4 Indemnification Agreement THIS INDEMNIFICATION AGREEMENT (as amended, restated or otherwise modified from time to time in accordance with its terms, the “Agreement”) is made and entered into as of March [●], 2024 between Serina Therapeutics, Inc., a Delaware corporation (the “Company”), and [●] (“Indemnitee”). WITNESSETH THAT: WHEREAS, highly competent persons have become more relucta

AGE / AgeX Therapeutics, Inc. / Juvenescence Ltd - SC 13D/A Activist Investment

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No.

Warrant Agreement, dated March 19, 2024 between AgeX Therapeutics, Inc. and Equinity Trust Company, LLC

Exhibit 10.49 WARRANT AGREEMENT between AgeX Therapeutics, Inc. and Equiniti Trust Company, LLC THIS WARRANT AGREEMENT (this “Agreement”), dated as of March 19, 2024, is by and between AgeX Therapeutics, Inc., a Delaware corporation (the “Company”), and Equiniti Trust Company, LLC, a New York limited liability company, as warrant agent (the “Warrant Agent,” also referred to herein as the “Transfer

Certificate of Incorporation, as amended, of AgeX Therapeutics, Inc.

Exhibit 3.1 CERTIFICATE OF INCORPORATION OF AGEX THERAPEUTICS, INC. For the purpose of organizing a corporation under the Delaware General Corporation Law, the undersigned hereby certifies that: Article 1 Name The name of this corporation is AgeX Therapeutics, Inc. Article 2 Address The address of the corporation’s registered office in the State of Delaware is 1675 South State Street, Suite B, Dov

Results of Operations and Financial Condition, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): March 22, 2024 AgeX Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer of inc

AgeX Therapeutics Reports Fourth Quarter and Annual 2023 Financial Results

Exhibit 99.1 AgeX Therapeutics Reports Fourth Quarter and Annual 2023 Financial Results ALAMEDA, Calif.—(Globe Newswire)—March 22, 2024—AgeX Therapeutics, Inc. (“AgeX”; NYSE American: AGE), a biotechnology company developing therapeutics for human aging and regeneration, reported its financial and operating results for fourth quarter and the full year ended December 31, 2023 and recent highlights.

Form of Incentive Warrant included in Warrant Agreement dated March 19, 2024.

Exhibit 4.5 Form of Incentive Warrant Certificate [FACE] Number Warrants THIS WARRANT SHALL BE VOID IF NOT EXERCISED PRIOR TO THE EXPIRATION OF THE EXERCISE PERIOD PROVIDED FOR IN THE WARRANT AGREEMENT DESCRIBED BELOW AgeX Therapeutics, Inc. Incorporated Under the Laws of the State of Delaware CUSIP [●] Warrant Certificate This Warrant Certificate certifies that , or registered assigns, is the reg

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTI

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-38519 AgeX Therapeutics, Inc. (Exa

List of Subsidiaries

Exhibit 21.1 LIST OF SUBSIDIARIES Subsidiary Ownership Country NeuroAirmid Therapeutics, Inc. 50% USA ReCyte Therapeutics, Inc. 94.8% USA Reverse Bioengineering, Inc. 100% USA UniverXome Bioengineering, Inc. 100% USA Canaria Transaction Corporation 100% USA

Form of Post-Merger Warrant included in Warrant Agreement dated March 19, 2024.

Exhibit 4.4 Form of Post-Merger Warrant Certificate [FACE] Number Warrants THIS WARRANT SHALL BE VOID IF NOT EXERCISED PRIOR TO THE EXPIRATION OF THE EXERCISE PERIOD PROVIDED FOR IN THE WARRANT AGREEMENT DESCRIBED BELOW AgeX Therapeutics, Inc. Incorporated Under the Laws of the State of Delaware CUSIP [●] Warrant Certificate This Warrant Certificate certifies that, or registered assigns, is the re

AgeX Therapeutics, Inc. Clawback Policy

Exhibit 97.1 AGEX THERAPEUTICS, INC. CLAWBACK POLICY The Board of Directors (the “Board”) of AgeX Therapeutics. Inc. (the “Company”) believes that it is in the best interests of the Company and its stockholders to adopt this Clawback Policy (the “Policy”), which provides for the recovery of certain incentive compensation in the event of an Accounting Restatement (as defined below). This Policy is

Second Certificate of Amendment to Certificate of Incorporation of AgeX Therapeutics, Inc., dated March 14, 2024.

Exhibit 3.1 STATE OF DELAWARE SECOND CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION OF AGEX THERAPEUTICS, INC. AgeX Therapeutics, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware, does hereby certify: FIRST: That at a meeting of the Board of Directors of AgeX Therapeutics, Inc. resolutions were duly adopted setting for

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): March 14, 2024 AgeX Therapeutics,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): March 14, 2024 AgeX Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer of inc

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): March 5, 2024 AgeX Therapeutics,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): March 5, 2024 AgeX Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer of inco

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): March 5, 2024 AgeX Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer of inco

AGE / AgeX Therapeutics, Inc. / Juvenescence Ltd - SC 13D/A Activist Investment

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No.

Sixth Amendment to Amended and Restated Convertible Promissory Note, dated February 9, 2024, between AgeX Therapeutics, Inc. and Juvenescence Limited

Exhibit 10.1 SIXTH AMENDMENT TO AMENDED AND RESTATED CONVERTIBLE PROMISSORY NOTE This Sixth Amendment to Amended and Restated Convertible Promissory Note (this “Amendment”) by and between AgeX Therapeutics Inc., a Delaware corporation (“Borrower”) and Juvenescence Limited, a company incorporated in the Isle of Man (“Lender”) is effective as of February 9, 2024 (“Effective Date”). WHEREAS, Borrower

AGE / AgeX Therapeutics, Inc. / Juvenescence Ltd - SC 13D/A Activist Investment

SC 13D/A 1 tm242510d4sc13da.htm SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 32) AGEX THERAPEUTICS, INC. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 00848H108 (CUS

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): February 9, 2024 AgeX Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction of incorporation) (Commission

Common Stock of AgeX Therapeutics, Inc. Warrants of AgeX Therapeutics, Inc. PROPOSED MERGER YOUR VOTE IS VERY IMPORTANT

Filed Pursuant to Rule 424(b)(3) Registration No. 333-275536 PROSPECTUS Common Stock of AgeX Therapeutics, Inc. Warrants of AgeX Therapeutics, Inc. PROPOSED MERGER YOUR VOTE IS VERY IMPORTANT To the Stockholders of AgeX Therapeutics, Inc. and Serina Therapeutics, Inc.: AgeX Therapeutics, Inc., a Delaware corporation (AgeX), and Serina Therapeutics, Inc., an Alabama corporation (Serina), entered in

[Signature page follows]

AgeX Therapeutics, Inc. 1101 Marina Village Parkway Suite 201 Alameda, California 94501 (510) 671-8370 February 13, 2024 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, DC 20549 Attn: Cindy Polynice Laura Crotty Jenn Do Kevin Vaughn Re: AgeX Therapeutics, Inc. Registration Statement on Form S-4/S-1 (F

Form of AgeX Therapeutics, Inc. proxy card

Exhibit 99.1

As filed with the Securities and Exchange Commission on February 6, 2024

As filed with the Securities and Exchange Commission on February 6, 2024 Registration No.

Form of Warrant Agreement, between AgeX Therapeutics, Inc. and Equinity Trust Company, LLC

Exhibit 99.11 WARRANT AGREEMENT between AgeX Therapeutics, Inc. and Equiniti Trust Company, LLC THIS WARRANT AGREEMENT (this “Agreement”), dated as of [], 2024, is by and between AgeX Therapeutics, Inc., a Delaware corporation (the “Company”), and Equiniti Trust Company, LLC, a New York limited liability company, as warrant agent (the “Warrant Agent,” also referred to herein as the “Transfer Agent

Consent of Steven Mintz to be named as a Director

Exhibit 99.10 Consent to be Named as a Director In connection with the filing by AgeX Therapeutics, Inc. (the “Company”) of the Registration Statement on Form S-4 and on Form S-1 with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the “Securities Act”), I hereby consent, pursuant to Rule 438 of the Securities Act, to being named in the Registration Statement a

Unregistered Sales of Equity Securities, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Changes in Control of Registrant, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): February 1, 2024 AgeX Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer of i

Abu Dhabi ● Beijing ● Brussels ● Century City ● Dallas ● Denver ● Dubai ● Frankfurt ● Hong Kong ● Houston ● London ● Los Angeles Munich ● New York ● Orange County ● Palo Alto ● Paris ● Riyadh ● San Francisco ● Singapore ● Washington, D.C.

Gibson, Dunn & Crutcher LLP 811 Main Street Houston, TX 77002-6117 Tel 346.718.6600 gibsondunn.com February 6, 2024 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance, Office of Life Sciences 100 F Street, NE Washington, DC 20549 Attention: Cindy Polynice Laura Crotty Jenn Do Kevin Vaughn Re: AgeX Therapeutics, Inc. Amendment No. 1 to Registration Statement

AGE / AgeX Therapeutics, Inc. / Juvenescence Ltd - SC 13D/A Activist Investment

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): January 16, 2024 AgeX Therapeutic

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): January 16, 2024 AgeX Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction of incorporation) (Commission

AGE / AgeX Therapeutics, Inc. / Juvenescence Ltd - SC 13D/A Activist Investment

SC 13D/A 1 tm242510d2sc13da.htm SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 30) AGEX THERAPEUTICS, INC. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 00848H108 (CUS

Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Serina Therapeutics, Inc.

Exhibit 3.5 CERTIFICATE OF AMENDMENT TO THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF SERINA THERAPEUTICS, INC. Pursuant to Section 10A-2A-10.06 of the Alabama Business Corporation Law, as amended (the “ABCL”), the undersigned corporation, Serina Therapeutics, Inc., an Alabama corporation (the “Corporation”), hereby adopts the following Certificate of Amendment to the Amended and Restat

Abu Dhabi ● Beijing ● Brussels ● Century City ● Dallas ● Denver ● Dubai ● Frankfurt ● Hong Kong ● Houston ● London ● Los Angeles Munich ● New York ● Orange County ● Palo Alto ● Paris ● Riyadh ● San Francisco ● Singapore ● Washington, D.C.

Gibson, Dunn & Crutcher LLP 811 Main Street Houston, TX 77002-6117 Tel 346.718.6600 gibsondunn.com January 16, 2024 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance, Office of Life Sciences 100 F Street, NE Washington, DC 20549 Attention: Cindy Polynice Joe McCann Jenn Do Kevin Vaughn Re: AgeX Therapeutics, Inc. Registration Statement on Form S-4 Filed Nov

As filed with the Securities and Exchange Commission on January 16, 2024

As filed with the Securities and Exchange Commission on January 16, 2024 Registration No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): January 8, 2024 AgeX Therapeutics

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): January 8, 2024 AgeX Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer of in

AGE / AgeX Therapeutics, Inc. / Juvenescence Ltd - SC 13D/A Activist Investment

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): January 3, 2024 AgeX Therapeutics

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): January 3, 2024 AgeX Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction of incorporation) (Commission F

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): December 21, 2023 AgeX Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction of incorporation) (Commission

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): December 13, 2023 AgeX Therapeuti

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): December 13, 2023 AgeX Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer of

AGE / AgeX Therapeutics Inc / Juvenescence Ltd - SC 13D/A Activist Investment

SC 13D/A 1 tm2332795d1sc13da.htm SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 28) AGEX THERAPEUTICS, INC. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 00848H108 (CU

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): December 5, 2023 AgeX Therapeutic

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): December 5, 2023 AgeX Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction of incorporation) (Commission

Termination of a Material Definitive Agreement, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): November 27, 2023 AgeX Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction of incorporation) (Commission

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): November 15, 2023 AgeX Therapeuti

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): November 15, 2023 AgeX Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction of incorporation) (Commission

Filed by AgeX Therapeutics, Inc.

Exhibit 99.1 Filed by AgeX Therapeutics, Inc. Pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934, as amended Subject Company: AgeX Therapeutics, Inc. (Commission File No. 001-38519) Serina Therapeutics Announces POZ Polymer Technology License Agreement with Pfizer ● Provides access to Serina POZ polymer

AGE / AgeX Therapeutics Inc / Juvenescence Ltd - SC 13D/A Activist Investment

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No.

Consent of Steve Ledger to be named as a Director

Exhibit 99.7 Consent to be Named as a Director In connection with the filing by AgeX Therapeutics, Inc. (the “Company”) of the Registration Statement on Form S-4 and on Form S-1 with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the “Securities Act”), I hereby consent, pursuant to Rule 438 of the Securities Act, to being named in the Registration Statement an

Consent of Richard Marshall to be named as a Director

Exhibit 99.9 Consent to be Named as a Director In connection with the filing by AgeX Therapeutics, Inc. (the “Company”) of the Registration Statement on Form S-4 and on Form S-1 with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the “Securities Act”), I hereby consent, pursuant to Rule 438 of the Securities Act, to being named in the Registration Statement an

Amended and Restated Certificate of Designation of Series B Preferred Stock

Exhibit 4.2 AGEX THERAPEUTICS, INC. AMENDED AND RESTATED CERTIFICATE OF DESIGNATION OF SERIES B PREFERRED STOCK, SETTING FORTH THE POWERS, PREFERENCES, RIGHTS, QUALIFICATIONS, LIMITATIONS AND RESTRICTIONS OF SUCH SERIES OF PREFERRED STOCK Pursuant to Section 242 of the Delaware General Corporation Law, AgeX Therapeutics, Inc., a Delaware corporation (the “Corporation”), DOES HEREBY CERTIFY: The Ce

Consent of Remy Gross to be named as a Director

Exhibit 99.5 Consent to be Named as a Director In connection with the filing by AgeX Therapeutics, Inc. (the “Company”) of the Registration Statement on Form S-4 and on Form S-1 with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the “Securities Act”), I hereby consent, pursuant to Rule 438 of the Securities Act, to being named in the Registration Statement an

Guaranty Agreement, dated November 9, 2023, between Reverse Bioengineering, Inc., ReCyte Therapeutics, Inc., UniverXome Bioengineering, Inc. and Juvenescence Limited.

Exhibit 10.57 GUARANTY AGREEMENT DATED AS OF NOVEMBER 9, 2023 MADE BY REVERSE BIOENGINEERING, INC., as a Guarantor, RECYTE THERAPEUTICS, INC. AS A GUARANTOR, UNIVERXOME BIOENGINEERING, INC., AS A GUARANTOR and THE OTHER GUARANTORS REFERRED TO HEREIN IN FAVOR OF JUVENESCENCE LIMITED, AS THE LENDER i TABLE OF CONTENTS (continued) SECTION 1 GUARANTY 1 1.1 Guaranty. 1 1.2 Payments 2 1.3 No Subrogation

Guaranty Agreement, dated November 9, 2023, between Reverse Bioengineering, Inc., ReCyte Therapeutics, Inc., UniverXome Bioengineering, Inc. and Juvenescence Limited

Exhibit 10.15 GUARANTY AGREEMENT DATED AS OF NOVEMBER 9, 2023 MADE BY REVERSE BIOENGINEERING, INC., as a Guarantor, RECYTE THERAPEUTICS, INC. AS A GUARANTOR, UNIVERXOME BIOENGINEERING, INC., AS A GUARANTOR and THE OTHER GUARANTORS REFERRED TO HEREIN IN FAVOR OF JUVENESCENCE LIMITED, AS THE LENDER i TABLE OF CONTENTS (continued) SECTION 1 GUARANTY 1 1.1 Guaranty. 1 1.2 Payments 2 1.3 No Subrogation

Allonge and Fifth Amendment to Amended and Restated Convertible Promissory Note, dated November 9, 2023, between AgeX Therapeutics, Inc. and Juvenescence Limited.

Exhibit 10.55 ALLONGE AND FIFTH AMENDMENT TO AMENDED AND RESTATED CONVERTIBLE PROMISSORY NOTE This Allonge and Fifth Amendment to Amended and Restated Convertible Promissory Note (this “Amendment”) by and between AgeX Therapeutics Inc., a Delaware corporation (“Borrower”) and Juvenescence Limited, a company incorporated in the Isle of Man (“Lender”) is effective as of November 9, 2023 (“Effective

Form of Pledge Agreement by AgeX Therapeutics, Inc.

Exhibit 10.14 FORM OF PLEDGE AMENDMENT This Pledge Amendment, dated as of November 9, 2023, is delivered pursuant to Section 8.6 of the Amended and Restated Security Agreement, dated as of March 10, 2023 (as such agreement may be amended, restated, amended and restated, supplemented or otherwise modified from time to time, the “Security Agreement”) , by AgeX Therapeutics, Inc., a Delaware corporat

Consent of J. Milton Harris to be named as a Director

Exhibit 99.6 Consent to be Named as a Director In connection with the filing by AgeX Therapeutics, Inc. (the “Company”) of the Registration Statement on Form S-4 and on Form S-1 with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the “Securities Act”), I hereby consent, pursuant to Rule 438 of the Securities Act, to being named in the Registration Statement an

Amendment to Transition Services and Separation Agreement, dated October 31, 2023, between AgeX Therapeutics, Inc. and Michael D. West

Exhibit 10.12 AMENDMENT NO. 1 TO TRANSITION SERVICES AND SEPARATION AGREEMENT This AMENDMENT NUMBER 1 TO TRANSITION SERVICES AND SEPARATION AGREEMENT (this “Amendment”) is entered into on this 31st day of October, 2023 by and between AgeX Therapeutics, Inc. (the “Company”) and Michael David West (“Executive”). Executive and the Company are each referred to herein as a “Party” and collectively as t

Form of Pledge Agreement by AgeX Therapeutics, Inc.

Exhibit 10.56 FORM OF PLEDGE AMENDMENT This Pledge Amendment, dated as of November 9, 2023, is delivered pursuant to Section 8.6 of the Amended and Restated Security Agreement, dated as of March 10, 2023 (as such agreement may be amended, restated, amended and restated, supplemented or otherwise modified from time to time, the “Security Agreement”) , by AgeX Therapeutics, Inc., a Delaware corporat

Filing Fee Table

Exhibit 107 Calculation of Filing Fee Tables Form S-4 / S-1 (Form Type) AgeX Therapeutics, Inc.

Allonge and Fifth Amendment to Amended and Restated Convertible Promissory Note, dated November 9, 2023, between AgeX Therapeutics, Inc. and Juvenescence Limited

Exhibit 10.13 ALLONGE AND FIFTH AMENDMENT TO AMENDED AND RESTATED CONVERTIBLE PROMISSORY NOTE This Allonge and Fifth Amendment to Amended and Restated Convertible Promissory Note (this “Amendment”) by and between AgeX Therapeutics Inc., a Delaware corporation (“Borrower”) and Juvenescence Limited, a company incorporated in the Isle of Man (“Lender”) is effective as of November 9, 2023 (“Effective

As filed with the Securities and Exchange Commission on November 14, 2023

As filed with the Securities and Exchange Commission on November 14, 2023 Registration No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): November 14, 2023 AgeX Therapeuti

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): November 14, 2023 AgeX Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer of

Amended and Restated Certificate of Designation of Series A Preferred Stock

Exhibit 4.1 AGEX THERAPEUTICS, INC. AMENDED AND RESTATED CERTIFICATE OF DESIGNATION OF SERIES A PREFERRED STOCK, SETTING FORTH THE POWERS, PREFERENCES, RIGHTS, QUALIFICATIONS, LIMITATIONS AND RESTRICTIONS OF SUCH SERIES OF PREFERRED STOCK Pursuant to Section 242 of the Delaware General Corporation Law, AgeX Therapeutics, Inc., a Delaware corporation (the “Corporation”), DOES HEREBY CERTIFY: The Ce

Joinder Agreement, dated November 9, 2023, between Reverse Bioengineering, Inc., ReCyte Therapeutics, Inc., UniverXome Bioengineering, Inc., AgeX Therapeutics, Inc. and Juvenescence Limited.

Exhibit 10.58 JOINDER AGREEMENT This JOINDER AGREEMENT, dated as of November 9, 2023, is delivered pursuant to Section 8.6 of the Amended and Restated Security Agreement, dated as of March 10, 2023 (as such agreement may be amended, restated, amended and restated, supplemented or otherwise modified from time to time, the “Security Agreement”), by AgeX Therapeutics, Inc., a Delaware corporation, (t

Second Amended and Restated Bylaws of Serina Therapeutics, Inc.

Exhibit 3.4 SECOND AMENDED AND RESTATED Bylaws of SERINA THERAPEUTICS, INC. an Alabama corporation Table of Contents ARTICLE 1 OFFICES 1 Section 1.1 Principal Office. 1 Section 1.2 Registered Office and Agent. 1 ARTICLE 2 STOCKHOLDERS 1 Section 2.1 Annual Meetings. 1 Section 2.2 Special Meetings. 1 Section 2.3 Place of Meetings. 1 Section 2.4 Action by Stockholders without a Meeting. 1 Section 2.5

AgeX Therapeutics Reports Third Quarter 2023 Financial Results

Exhibit 99.1 AgeX Therapeutics Reports Third Quarter 2023 Financial Results ALAMEDA, Calif.—(BUSINESS WIRE)—November 14, 2023—AgeX Therapeutics, Inc. (“AgeX”; NYSE American: AGE), a biotechnology company developing therapeutics for human aging and regeneration, reported its financial and operating results for the quarter and nine months ended September 30, 2023. Third Quarter and Recent Highlights

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-38519 AgeX Therapeutics,

Joinder Agreement, dated November 9, 2023, between Reverse Bioengineering, Inc., ReCyte Therapeutics, Inc., UniverXome Bioengineering, Inc., AgeX Therapeutics, Inc. and Juvenescence Limited

Exhibit 10.16 JOINDER AGREEMENT This JOINDER AGREEMENT, dated as of November 9, 2023, is delivered pursuant to Section 8.6 of the Amended and Restated Security Agreement, dated as of March 10, 2023 (as such agreement may be amended, restated, amended and restated, supplemented or otherwise modified from time to time, the “Security Agreement”), by AgeX Therapeutics, Inc., a Delaware corporation, (t

Amended and Restated Certificate of Incorporation of Serina Therapeutics, Inc.

AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF SERINA THERAPEUTICS, INC. Pursuant to Sections 10A-2A-10.06 and 10A-2A-10.07 of the Alabama Business Corporation Law, as amended, the undersigned corporation, Serina Therapeutics, Inc., an Alabama corporation (the “Corporation”), hereby adopts the following Amended and Restated Certificate of Incorporation of the Corporation: FIRST: The name of

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of

Consent of Gregory Bailey to be named as a Director

Exhibit 99.8 Consent to be Named as a Director In connection with the filing by AgeX Therapeutics, Inc. (the “Company”) of the Registration Statement on Form S-4 and on Form S-1 with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the “Securities Act”), I hereby consent, pursuant to Rule 438 of the Securities Act, to being named in the Registration Statement an

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): October 31, 2023 AgeX Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer of i

AGE / AgeX Therapeutics Inc / Juvenescence Ltd - SC 13D/A Activist Investment

SC 13D/A 1 tm2329473d1sc13da.htm SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 26) AGEX THERAPEUTICS, INC. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 00848H108 (CU

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): October 3, 2023 AgeX Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer of in

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): September 11, 2023 AgeX Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer of

Correspondence on departure of director

Exhibit 17 By email September 1, 2023 Board of Directors AgeX Therapeutics, Inc. Fellow Directors: This is to inform you that I will not be standing for re-election to the AgeX Board at the next annual meeting. My decision is due to a need to reduce my commitments to external activities and not because of a disagreement with AgeX on any matter relating to AgeX’s operations, policies, or practices.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): September 1, 2023 AgeX Therapeuti

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): September 1, 2023 AgeX Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer of

Form of AgeX Therapeutics, Inc. Lock-Up Agreement.

Exhibit 10.3 Lock-Up Agreement August , 2023 Ladies and Gentlemen: The undersigned (the “Stockholder”) understands that: (i) AgeX Therapeutics, Inc., a Delaware corporation (“Parent”), intends to enter into that certain Agreement and Plan of Merger and Reorganization (the “Merger Agreement”), with Serina Therapeutics, Inc., an Alabama corporation (the “Company”), and Canaria Transaction Corporatio

Letter Agreement, dated August 29, 2023, by and among AgeX Therapeutics, Inc., Serina Therapeutics, Inc. and Juvenescence Limited.

Exhibit 10.5 29 August 2023 AgeX Therapeutics, Inc. 1101 Marina Village Parkway, Suite 201 Alameda, California 94501 Serina Therapeutics, Inc. 601 Genome Way, Suite 2001 Huntsville, Alabama 35806 This letter agreement (this “Letter Agreement”) is entered into pursuant to Section 6.5 of, and in connection with the consummation of the transactions contemplated by, that certain Agreement and Plan of

Serina Therapeutics and AgeX Therapeutics Enter into Merger Agreement

Exhibit 99.1 Serina Therapeutics and AgeX Therapeutics Enter into Merger Agreement August 30, 2023 ■ Merger to result in NYSE American-listed company focused on developing therapeutics based on Serina’s proprietary POZ PlatformTM delivery technology ■ Lead program of the combined company will be SER-252 (POZ-apomorphine) for the treatment of advanced Parkinson’s Disease ■ Focus on expanding POZ Pl

Form of Serina Therapeutics, Inc. Stockholder Support Agreement.

Exhibit 10.2 SUPPORT AGREEMENT This Support Agreement (this “Agreement”), is made as of August , 2023, by and between AgeX Therapeutics, Inc., a Delaware corporation (“Parent”), and the Person set forth on Schedule A hereto (the “Stockholder”). WHEREAS, as of the date hereof, the Stockholder is the holder of the number of shares of common stock, par value $0.01 per share (“Common Stock”) and prefe

Agreement and Plan of Merger and Reorganization, dated August 29, 2023, by and among AgeX Therapeutics, Inc., Canaria Transaction Corporation and Serina Therapeutics, Inc.

Exhibit 2.1 AGREEMENT AND PLAN OF MERGER AND REORGANIZATION among: AgeX Therapeutics, Inc., a Delaware corporation; CANARIA TRANSACTION CORPORATION, an Alabama corporation; and Serina THERAPEUTICS, INC., an Alabama corporation Dated as of August 29, 2023 TABLE OF CONTENTS Page SECTION 1. DESCRIPTION OF TRANSACTION 2 1.1 The Merger 2 1.2 Effects of the Merger 2 1.3 Closing; Effective Time 2 1.4 Cer

Form of AgeX Therapeutics, Inc. Stockholder Support Agreement.

Exhibit 10.1 SUPPORT AGREEMENT This Support Agreement (this “Agreement”), is made as of August , 2023, by and between Serina Therapeutics, Inc., an Alabama corporation (the “Company”), and the Person set forth on Schedule A hereto (the “Stockholder”). WHEREAS, as of the date hereof, the Stockholder is the holder of the number of shares of common stock, par value $0.0001 per share, Series A Preferr

Serina Therapeutics and AgeX Therapeutics Enter into Merger Agreement

Exhibit 99.1 Serina Therapeutics and AgeX Therapeutics Enter into Merger Agreement August 30, 2023 ■ Merger to result in NYSE American-listed company focused on developing therapeutics based on Serina’s proprietary POZ PlatformTM delivery technology ■ Lead program of the combined company will be SER-252 (POZ-apomorphine) for the treatment of advanced Parkinson’s Disease ■ Focus on expanding POZ Pl

Form of Serina Therapeutics, Inc. Lock-Up Agreement

Exhibit 10.4 Lock-Up Agreement August , 2023 Ladies and Gentlemen: The undersigned stockholder or option holder (the “Stockholder”) understands that: (i) AgeX Therapeutics, Inc., a Delaware corporation (“Parent”), intends to enter into that certain Agreement and Plan of Merger and Reorganization (the “Merger Agreement”), with Serina Therapeutics, Inc., an Alabama corporation (the “Company”), and C

Form of AgeX Therapeutics, Inc. Lock-Up Agreement

Exhibit 10.3 Lock-Up Agreement August , 2023 Ladies and Gentlemen: The undersigned (the “Stockholder”) understands that: (i) AgeX Therapeutics, Inc., a Delaware corporation (“Parent”), intends to enter into that certain Agreement and Plan of Merger and Reorganization (the “Merger Agreement”), with Serina Therapeutics, Inc., an Alabama corporation (the “Company”), and Canaria Transaction Corporatio

Agreement and Plan of Merger and Reorganization, dated August 29, 2023, by and among AgeX Therapeutics, Inc., Canaria Transaction Corporation and Serina Therapeutics, Inc.†

Exhibit 2.1 AGREEMENT AND PLAN OF MERGER AND REORGANIZATION among: AgeX Therapeutics, Inc., a Delaware corporation; CANARIA TRANSACTION CORPORATION, an Alabama corporation; and Serina THERAPEUTICS, INC., an Alabama corporation Dated as of August 29, 2023 TABLE OF CONTENTS Page SECTION 1. DESCRIPTION OF TRANSACTION 2 1.1 The Merger 2 1.2 Effects of the Merger 2 1.3 Closing; Effective Time 2 1.4 Cer

Form of Serina Therapeutics, Inc. Lock-Up Agreement.

Exhibit 10.4 Lock-Up Agreement August , 2023 Ladies and Gentlemen: The undersigned stockholder or option holder (the “Stockholder”) understands that: (i) AgeX Therapeutics, Inc., a Delaware corporation (“Parent”), intends to enter into that certain Agreement and Plan of Merger and Reorganization (the “Merger Agreement”), with Serina Therapeutics, Inc., an Alabama corporation (the “Company”), and C

Form of Serina Therapeutics, Inc. Stockholder Support Agreement.

Exhibit 10.2 SUPPORT AGREEMENT This Support Agreement (this “Agreement”), is made as of August , 2023, by and between AgeX Therapeutics, Inc., a Delaware corporation (“Parent”), and the Person set forth on Schedule A hereto (the “Stockholder”). WHEREAS, as of the date hereof, the Stockholder is the holder of the number of shares of common stock, par value $0.01 per share (“Common Stock”) and prefe

Letter Agreement, dated August 29, 2023, by and among AgeX Therapeutics, Inc., Serina Therapeutics, Inc. and Juvenescence Limited

Exhibit 10.5 29 August 2023 AgeX Therapeutics, Inc. 1101 Marina Village Parkway, Suite 201 Alameda, California 94501 Serina Therapeutics, Inc. 601 Genome Way, Suite 2001 Huntsville, Alabama 35806 This letter agreement (this “Letter Agreement”) is entered into pursuant to Section 6.5 of, and in connection with the consummation of the transactions contemplated by, that certain Agreement and Plan of

Form of AgeX Therapeutics, Inc. Stockholder Support Agreement

Exhibit 10.1 SUPPORT AGREEMENT This Support Agreement (this “Agreement”), is made as of August , 2023, by and between Serina Therapeutics, Inc., an Alabama corporation (the “Company”), and the Person set forth on Schedule A hereto (the “Stockholder”). WHEREAS, as of the date hereof, the Stockholder is the holder of the number of shares of common stock, par value $0.0001 per share, Series A Preferr

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 29, 2023 AgeX Therapeutics

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 29, 2023 AgeX Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer of in

Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 29, 2023 AgeX Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer of in

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 22, 2023 AgeX Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer of in

AGE / AgeX Therapeutics Inc / Juvenescence Ltd - SC 13D/A Activist Investment

SC 13D/A 1 tm2324704d1sc13da.htm SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 25) AGEX THERAPEUTICS, INC. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 00848H108 (CU

AgeX Therapeutics Reports Second Quarter 2023 Financial Results

Exhibit 99.1 AgeX Therapeutics Reports Second Quarter 2023 Financial Results ALAMEDA, Calif.—(BUSINESS WIRE)—August 14, 2023—AgeX Therapeutics, Inc. (“AgeX”; NYSE American: AGE), a biotechnology company developing therapeutics for human aging and regeneration, reported its financial and operating results for the quarter and six months ended June 30, 2023. Balance Sheet Information Cash, cash equiv

Consulting Agreement, dated August 9, 2023, between AgeX Therapeutics, Inc. and Joanne Hackett

Exhibit 10.8 CONSULTING AGREEMENT This Consulting Agreement (“Agreement”) is dated 9 August 2023 (the “Effective Date”) by and between AgeX Therapeutics, Inc., a corporation, having a registered office at 1101 Marina Village Parkway, Suite 201, Alameda, CA., 94501 and Affiliates (“Company” or “AgeX”) and Joanne Hackett with an address at 60 Clarendon Court, 43 Golden Lane, London, EC1Y 0AD (the “C

Results of Operations and Financial Condition, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 14, 2023 AgeX Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer of in

Transition Services and Separation Agreement, dated August 9, 2023, between AgeX Therapeutics, Inc. and Michael D. West.

Exhibit 10.7 TRANSITION SERVICES AND SEPARATION AGREEMENT This TRANSITION SERVICES AND SEPARATION AGREEMENT (this “Agreement”) is entered into on 9 August 2023 by and between AgeX Therapeutics, Inc. (the “Company”) and Michael David West (“Executive”). Executive and the Company are each referred to herein as a “Party” and collectively as the “Parties.” WHEREAS, Executive and the Company have agree

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-38519 AgeX Therapeutics, Inc.

Amendment to Secured Convertible Promissory Note, executed by AgeX Therapeutics, Inc. and Juvenescence Limited on July 31, 2023

Exhibit 10.2 AMENDMENT TO SECURED CONVERTIBLE PROMISSORY NOTE This Amendment to Secured Convertible Promissory Note (this “Amendment”) by and between AgeX Therapeutics Inc., a Delaware corporation (“Borrower”) and a company incorporated in the Isle of Man with company number 018008V and its registered office at 1st Floor Viking House, St Pauls Square, Ramsey, Isle of Man, IM8 1GB (“Lender”) is eff

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): July 31, 2023 AgeX Therapeutics,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): July 31, 2023 AgeX Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer of inco

Fourth Amendment to Amended and Restated Secured Convertible Promissory Note, executed by AgeX Therapeutics, Inc. and Juvenescence Limited on July 31, 2023

Exhibit 10.1 FOURTH AMENDMENT TO AMENDED AND RESTATED CONVERTIBLE PROMISSORY NOTE This Fourth Amendment to Amended and Restated Convertible Promissory Note (this “Amendment”) by and between AgeX Therapeutics Inc., a Delaware corporation (“Borrower”) and a company incorporated in the Isle of Man with company number 018008V and its registered office at 1st Floor Viking House, St Pauls Square, Ramsey

AgeX Therapeutics Closes $36,000,000 Debt Exchange for Preferred Stock

Exhibit 99.1 AgeX Therapeutics Closes $36,000,000 Debt Exchange for Preferred Stock ALAMEDA, Calif.—(BUSINESS WIRE)—July 24, 2023—AgeX Therapeutics, Inc. (“AgeX”; NYSE American: AGE), a biotechnology company developing therapeutics for human aging and regeneration, reported that on July 24, 2023, AgeX issued to Juvenescence Limited 211,600 shares of a newly authorized Series A Preferred Stock and

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): July 24, 2023 AgeX Therapeutics,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): July 24, 2023 AgeX Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer of inco

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): July 21, 2023 AgeX Therapeutics,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): July 21, 2023 AgeX Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 1-38519 82-1436829 (State or other jurisdiction (Commission (IRS Employer of inco

Certificate of Designation of Series B Preferred Stock

Exhibit 4.2 AGEX THERAPEUTICS, INC. CERTIFICATE OF DESIGNATION OF SERIES B PREFERRED STOCK, SETTING FORTH THE POWERS, PREFERENCES, RIGHTS, QUALIFICATIONS, LIMITATIONS AND RESTRICTIONS OF SUCH SERIES OF PREFERRED STOCK Pursuant to Section 151 of the Delaware General Corporation Law, AgeX Therapeutics, Inc., a Delaware corporation (the “Corporation”), DOES HEREBY CERTIFY: The Certificate of Incorpor

Certificate of Designation of Series A Preferred Stock

Exhibit 4.1 AGEX THERAPEUTICS, INC. CERTIFICATE OF DESIGNATION OF SERIES A PREFERRED STOCK, SETTING FORTH THE POWERS, PREFERENCES, RIGHTS, QUALIFICATIONS, LIMITATIONS AND RESTRICTIONS OF SUCH SERIES OF PREFERRED STOCK Pursuant to Section 151 of the Delaware General Corporation Law, AgeX Therapeutics, Inc., a Delaware corporation (the “Corporation”), DOES HEREBY CERTIFY: The Certificate of Incorpor

Registration Rights Agreement, dated July 21, 2023, between AgeX Therapeutics, Inc. and Juvenescence Limited

Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (“Agreement”) is entered into as of July 21, 2023 by and between AgeX Therapeutics, Inc., a California corporation (the “Company”) and the Juvenescence Limited, a company incorporated in the Isle of Man (“Holder”). NOW, THEREFORE, the parties agree as follows: 1. Certain Definitions. As used in this Agreement the followi

AgeX Therapeutics Announces $36,000,000 Debt Exchange for Preferred Stock

Exhibit 99.1 AgeX Therapeutics Announces $36,000,000 Debt Exchange for Preferred Stock ALAMEDA, Calif.—(BUSINESS WIRE)—July 21, 2023—AgeX Therapeutics, Inc. (“AgeX”; NYSE American: AGE), a biotechnology company developing therapeutics for human aging and regeneration, reported that on July 21, 2023, AgeX and Juvenescence Limited entered into an Exchange Agreement pursuant to which AgeX agreed to i