Home / Going-concern warnings / Serina Therapeutics, Inc.
Filed 2025-11-13 路 Form 10-Q 路 Accession 0001708599-25-000133 nano
Price before filing: $4.02 (2025-11-12 close, split/dividend-adjusted)
Market cap at flag: $39.9M (2025-11-13) 路 Latest: $28.2M (2026-10-16)
| Window | SER | SPY | vs SPY | |
|---|---|---|---|---|
| 30 days | -25.6% | -0.4% | -25.2% | 2025-12-15 |
| 90 days | -53.7% | +1.6% | -55.3% | 2026-02-11 |
| 180 days | -59.5% | +8.6% | -68.1% | 2026-05-12 |
Return from the last close before the filing date to the first close on/after the window end. Pending windows have not fully elapsed. Past performance says nothing certain about the future.
90 days before the flag: 1 insider sold $496K (11 sales)
30 days after: 1 insider sold $94K (9 sales)
| Date | Insider | Type | Shares | Price | Value | 10b5-1 plan | Source |
|---|---|---|---|---|---|---|---|
| 2025-08-18 | Moreadith Randall Chief Scientific Officer | Sale | 2,227 | $5.25 | $12K | yes | Form 4 |
| 2025-08-20 | Moreadith Randall Chief Scientific Officer | Sale | 2,077 | $5.10 | $11K | yes | Form 4 |
| 2025-08-25 | Moreadith Randall Chief Scientific Officer | Sale | 2,042 | $5.65 | $12K | yes | Form 4 |
| 2025-08-26 | Moreadith Randall Chief Scientific Officer | Sale | 45,632 | $7.01 | $320K | yes | Form 4 |
| 2025-10-13 | Moreadith Randall Chief Scientific Officer | Sale | 4,326 | $5.20 | $22K | yes | Form 4 |
| 2025-10-20 | Moreadith Randall Chief Scientific Officer | Sale | 6,500 | $4.97 | $32K | yes | Form 4 |
| 2025-10-27 | Moreadith Randall Chief Scientific Officer | Sale | 949 | $5.19 | $5K | yes | Form 4 |
| 2025-10-28 | Moreadith Randall Chief Scientific Officer | Sale | 5,551 | $4.96 | $28K | yes | Form 4 |
| 2025-11-04 | Moreadith Randall Chief Scientific Officer | Sale | 3,102 | $4.40 | $14K | yes | Form 4 |
| 2025-11-05 | Moreadith Randall Chief Scientific Officer | Sale | 3,398 | $4.24 | $14K | yes | Form 4 |
| 2025-11-10 | Moreadith Randall Chief Scientific Officer | Sale | 6,500 | $4.10 | $27K | yes | Form 4 |
| 2025-11-13: red flag filed | |||||||
| 2025-11-18 | Moreadith Randall Chief Scientific Officer | Sale | 6,500 | $3.75 | $24K | yes | Form 4 |
| 2025-11-24 | Moreadith Randall Chief Scientific Officer | Sale | 535 | $3.94 | $2K | yes | Form 4 |
| 2025-11-25 | Moreadith Randall Chief Scientific Officer | Sale | 5,965 | $3.90 | $23K | yes | Form 4 |
| 2025-12-02 | Moreadith Randall Chief Scientific Officer | Sale | 1,500 | $3.91 | $6K | yes | Form 4 |
| 2025-12-03 | Moreadith Randall Chief Scientific Officer | Sale | 5,000 | $3.52 | $18K | yes | Form 4 |
| 2025-12-09 | Moreadith Randall Chief Scientific Officer | Sale | 600 | $3.31 | $2K | yes | Form 4 |
| 2025-12-10 | Moreadith Randall Chief Scientific Officer | Sale | 645 | $3.35 | $2K | yes | Form 4 |
| 2025-12-11 | Moreadith Randall Chief Scientific Officer | Sale | 3,555 | $3.24 | $12K | yes | Form 4 |
| 2025-12-12 | Moreadith Randall Chief Scientific Officer | Sale | 1,700 | $3.26 | $6K | yes | Form 4 |
Open-market purchases and sales (Form 4 codes P and S) by officers, directors and 10% owners, by transaction date, from 2025-08-15 to 2025-12-13. Excludes option exercises, grants, gifts and tax withholding. Amended filings replace the originals; joint filings count once. Foreign private issuers do not file Form 4. Many insider sales are pre-scheduled (10b5-1 plans) and are not by themselves a sign of wrongdoing.
"As such, there is substantial doubt about the Company's ability to continue as a going concern."
Quoted from the filing. Source
The filing states that substantial doubt exists about the company's ability to continue as a going concern: it may not have enough cash to last the next 12 months. Expect dilution, debt deals or worse. An auditor's going-concern paragraph is the strongest form of this warning.
Source: management disclosure in Form 10-Q (period 2025-09-30)
Why this score: quarterly (unaudited) disclosure
Read the original filing on SEC.gov →
Not investment advice. Automated summary; verify against the filing.
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