Home / Going-concern warnings / Serina Therapeutics, Inc.
Filed 2026-08-13 路 Form 10-Q 路 Accession 0001708599-26-000047 nano
Price before filing: $2.82 (2026-08-12 close, split/dividend-adjusted)
Market cap at flag: $46.7M (2026-08-13) 路 Latest: $28.2M (2026-10-16)
| Window | SER | SPY | vs SPY | |
|---|---|---|---|---|
| 30 days | -13.1% | -1.5% | -11.6% | 2026-09-14 |
| 90 days | pending | pending | until 2026-11-11 | |
| 180 days | pending | pending | until 2027-02-09 |
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: 4 insiders bought $78K (7 purchases)
30 days after: none reported.
| Date | Insider | Type | Shares | Price | Value | 10b5-1 plan | Source |
|---|---|---|---|---|---|---|---|
| 2026-05-19 | Marshall Richard Peter Director | Purchase | 12,183 | $1.65 | $20K | no | Form 4 |
| 2026-05-21 | WILSON KAREN J Director | Purchase | 10,000 | $1.77 | $18K | no | Form 4 |
| 2026-05-22 | Venkatesan Jay Director | Purchase | 589 | $1.78 | $1K | no | Form 4 |
| 2026-05-22 | WILSON KAREN J Director | Purchase | 10,000 | $1.93 | $19K | no | Form 4 |
| 2026-06-11 | WILSON KAREN J Director | Purchase | 5,100 | $1.75 | $9K | no | Form 4 |
| 2026-06-12 | WILSON KAREN J Director | Purchase | 5,000 | $1.77 | $9K | no | Form 4 |
| 2026-07-07 | Brannan Stephen K. Director | Purchase | 1,000 | $2.03 | $2K | no | Form 4 |
| 2026-08-13: red flag filed | |||||||
Open-market purchases and sales (Form 4 codes P and S) by officers, directors and 10% owners, by transaction date, from 2026-05-15 to 2026-09-12. 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 2026-06-30)
Why this score: quarterly (unaudited) disclosure
Read the original filing on SEC.gov →
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Not investment advice. Automated summary; verify against the filing.
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