Home / Going-concern warnings / Serina Therapeutics, Inc.
Filed 2026-03-25 路 Form 10-K 路 Accession 0001708599-26-000016 nano
Price before filing: $2.43 (2026-03-24 close, split/dividend-adjusted)
Market cap at flag: $36.5M (2026-03-25) 路 Latest: $28.2M (2026-10-16)
| Window | SER | SPY | vs SPY | |
|---|---|---|---|---|
| 30 days | -18.9% | +9.3% | -28.2% | 2026-04-24 |
| 90 days | -21.0% | +12.6% | -33.6% | 2026-06-23 |
| 180 days | -4.9% | +19.0% | -24.0% | 2026-09-21 |
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 $230K (10 sales)
30 days after: none reported.
| Date | Insider | Type | Shares | Price | Value | 10b5-1 plan | Source |
|---|---|---|---|---|---|---|---|
| 2026-01-08 | Moreadith Randall Chief Scientific Officer | Sale | 13,000 | $2.69 | $35K | yes | Form 4 |
| 2026-01-13 | Moreadith Randall Chief Scientific Officer | Sale | 5,416 | $2.50 | $14K | yes | Form 4 |
| 2026-01-14 | Moreadith Randall Chief Scientific Officer | Sale | 1,084 | $2.50 | $3K | yes | Form 4 |
| 2026-01-20 | Moreadith Randall Chief Scientific Officer | Sale | 2,000 | $3.07 | $6K | yes | Form 4 |
| 2026-01-21 | Moreadith Randall Chief Scientific Officer | Sale | 2,000 | $3.00 | $6K | yes | Form 4 |
| 2026-01-22 | Moreadith Randall Chief Scientific Officer | Sale | 2,500 | $2.95 | $7K | yes | Form 4 |
| 2026-01-28 | Moreadith Randall Chief Scientific Officer | Sale | 6,500 | $3.57 | $23K | yes | Form 4 |
| 2026-02-02 | Moreadith Randall Chief Scientific Officer | Sale | 6,500 | $3.03 | $20K | yes | Form 4 |
| 2026-03-19 | Moreadith Randall Chief Scientific Officer | Sale | 39,000 | $2.50 | $98K | yes | Form 4 |
| 2026-03-23 | Moreadith Randall Chief Scientific Officer | Sale | 6,500 | $2.86 | $19K | yes | Form 4 |
| 2026-03-25: red flag filed | |||||||
Open-market purchases and sales (Form 4 codes P and S) by officers, directors and 10% owners, by transaction date, from 2025-12-25 to 2026-04-24. 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.
"These factors raise substantial doubt regarding our 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-K (period 2025-12-31)
Read the original filing on SEC.gov →
Not investment advice. Automated summary; verify against the filing.
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