<SEC-DOCUMENT>0001708599-25-000124.txt : 20251027
<SEC-HEADER>0001708599-25-000124.hdr.sgml : 20251027
<ACCEPTANCE-DATETIME>20251027160243
ACCESSION NUMBER:		0001708599-25-000124
CONFORMED SUBMISSION TYPE:	DEFR14A
PUBLIC DOCUMENT COUNT:		1
FILED AS OF DATE:		20251027
DATE AS OF CHANGE:		20251027

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			Serina Therapeutics, Inc.
		CENTRAL INDEX KEY:			0001708599
		STANDARD INDUSTRIAL CLASSIFICATION:	PHARMACEUTICAL PREPARATIONS [2834]
		ORGANIZATION NAME:           	03 Life Sciences
		EIN:				821436829
		STATE OF INCORPORATION:			AL
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		DEFR14A
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-38519
		FILM NUMBER:		251419872

	BUSINESS ADDRESS:	
		STREET 1:		601 GENOME WAY
		STREET 2:		SUITE 2001
		CITY:			HUNTSVILLE
		STATE:			AL
		ZIP:			35806
		BUSINESS PHONE:		(256) 327-9630

	MAIL ADDRESS:	
		STREET 1:		601 GENOME WAY
		STREET 2:		SUITE 2001
		CITY:			HUNTSVILLE
		STATE:			AL
		ZIP:			35806

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	AgeX Therapeutics, Inc.
		DATE OF NAME CHANGE:	20170606
</SEC-HEADER>
<DOCUMENT>
<TYPE>DEFR14A
<SEQUENCE>1
<FILENAME>serproxyamendment4925-3977.htm
<DESCRIPTION>DEFR14A
<TEXT>
<html><head>
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<title>Document</title></head><body><div id="i8b6a7ef7411e402fa8596f1b66ca1541_1"></div><div style="min-height:45.36pt;width:100%"><div><font><br></font></div></div><div><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:99.927%"><tr><td style="width:1.0%"></td><td style="width:98.900%"></td><td style="width:0.1%"></td></tr><tr style="height:15pt"><td colspan="3" style="border-bottom:1.5pt solid #000000;border-top:4.5pt solid #000000;padding:0 1pt"></td></tr></table></div><div style="margin-top:8pt;text-align:center"><font style="color:#000000;font-family:'Times New Roman',serif;font-size:18pt;font-weight:700;line-height:139%">UNITED STATES</font></div><div style="text-align:center"><font style="color:#000000;font-family:'Times New Roman',serif;font-size:18pt;font-weight:700;line-height:139%">SECURITIES AND EXCHANGE COMMISSION</font></div><div style="text-align:center"><font style="color:#000000;font-family:'Times New Roman',serif;font-size:12pt;font-weight:700;line-height:139%">WASHINGTON, D.C. 20549</font></div><div style="margin-top:10pt;text-align:center"><font style="color:#000000;font-family:'Times New Roman',serif;font-size:18pt;font-weight:700;line-height:139%">SCHEDULE 14A</font></div><div style="text-align:center"><font style="color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:700;line-height:139%">(Rule 14a-101)</font></div><div style="margin-top:10pt;text-align:center"><font style="color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:700;line-height:139%">INFORMATION REQUIRED IN PROXY STATEMENT</font></div><div style="margin-top:10pt;text-align:center"><font style="color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:700;line-height:139%">SCHEDULE 14A INFORMATION</font></div><div style="margin-top:10pt;text-align:center"><font style="color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:700;line-height:139%">Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934</font></div><div style="margin-top:10pt;text-align:center"><font style="color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:700;line-height:139%">(Amendment No. 1)</font></div><div style="margin-top:10pt;text-align:justify"><font style="color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:12.00pt">Filed by the Registrant </font><font style="color:#000000;font-family:'Wingdings',sans-serif;font-size:10pt;font-weight:400;line-height:12.00pt">&#253;</font></div><div style="text-align:justify"><font style="color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:139%">Filed by a Party other than the Registrant </font><font style="color:#000000;font-family:'Wingdings',sans-serif;font-size:10pt;font-weight:400;line-height:139%">&#9744;</font><font style="color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:139%"> </font></div><div style="margin-bottom:10pt;margin-top:10pt;text-align:justify"><font style="color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:139%">Check the appropriate box&#58;</font></div><div><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:99.624%"><tr><td style="width:0.1%"></td><td style="width:2.383%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:96.317%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="margin-bottom:1pt;margin-top:3.25pt;padding-left:0.02pt;padding-right:0.02pt;text-align:justify"><font style="color:#000000;font-family:'Wingdings',sans-serif;font-size:10pt;font-weight:400;line-height:132%">&#9744;</font></div></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="margin-bottom:1pt;margin-top:3.25pt;padding-left:0.02pt;padding-right:0.02pt"><font style="color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:132%">Preliminary Proxy Statement</font></div></td></tr><tr style="height:9pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="margin-bottom:1pt;margin-top:3.25pt;padding-left:0.02pt;padding-right:0.02pt;text-align:justify"><font style="color:#000000;font-family:'Wingdings',sans-serif;font-size:10pt;font-weight:400;line-height:132%">&#9744;</font></div></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="margin-bottom:1pt;margin-top:3.25pt;padding-left:0.02pt;padding-right:0.02pt"><font style="color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:132%">Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2))</font></div></td></tr><tr style="height:9pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="margin-bottom:1pt;margin-top:3.25pt;padding-left:0.02pt;padding-right:0.02pt;text-align:justify"><font style="color:#000000;font-family:'Wingdings',sans-serif;font-size:10pt;font-weight:400;line-height:132%">&#9744;</font></div></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="margin-bottom:1pt;margin-top:3.25pt;padding-left:0.02pt;padding-right:0.02pt"><font style="color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:132%">Definitive Proxy Statement</font></div></td></tr><tr style="height:9pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="margin-bottom:1pt;margin-top:3.25pt;padding-left:0.02pt;padding-right:0.02pt;text-align:justify"><font style="color:#000000;font-family:'Arial',sans-serif;font-size:12pt;font-weight:400;line-height:132%">&#9746;</font></div></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="margin-bottom:1pt;margin-top:3.25pt;padding-left:0.02pt;padding-right:0.02pt"><font style="color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:132%">Definitive Additional Materials</font></div></td></tr><tr style="height:9pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="margin-bottom:1pt;margin-top:3.25pt;padding-left:0.02pt;padding-right:0.02pt;text-align:justify"><font style="color:#000000;font-family:'Wingdings',sans-serif;font-size:10pt;font-weight:400;line-height:132%">&#9744;</font></div></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="margin-bottom:1pt;margin-top:3.25pt;padding-left:0.02pt;padding-right:0.02pt"><font style="color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:132%">Soliciting Material Pursuant to &#167;240.14a-12</font></div></td></tr></table></div><div style="margin-top:10pt;text-align:center"><font style="color:#000000;font-family:'Times New Roman',serif;font-size:18pt;font-weight:700;line-height:139%">Serina Therapeutics, Inc.</font></div><div style="text-align:center"><font style="color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:139%">(Name of Registrant as Specified in Its Charter)</font></div><div style="margin-top:10pt;text-align:center"><font style="color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:139%">(Name of Person(s) Filing Proxy Statement if other than the Registrant) </font></div><div style="margin-bottom:10pt;margin-top:10pt"><font><br></font></div><div><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:99.624%"><tr><td style="width:0.1%"></td><td style="width:2.383%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:96.317%"></td><td style="width:0.1%"></td></tr><tr><td colspan="6" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="margin-bottom:1pt;margin-top:3.25pt;padding-left:0.02pt;padding-right:0.02pt"><font style="color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:132%">Payment of Filing Fee (Check the appropriate box)&#58;</font></div></td></tr><tr style="height:9pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="margin-bottom:1pt;margin-top:3.25pt;padding-left:0.02pt;padding-right:0.02pt;text-align:justify"><font style="color:#000000;font-family:'Arial',sans-serif;font-size:12pt;font-weight:400;line-height:132%">&#9746;</font></div></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="margin-bottom:1pt;margin-top:3.25pt;padding-left:0.02pt;padding-right:0.02pt"><font style="color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:132%">No fee required.</font></div></td></tr><tr style="height:9pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="margin-bottom:1pt;margin-top:3.25pt;padding-left:0.02pt;padding-right:0.02pt;text-align:justify"><font style="color:#000000;font-family:'Wingdings',sans-serif;font-size:10pt;font-weight:400;line-height:132%">&#9744;</font></div></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="margin-bottom:1pt;margin-top:3.25pt;padding-left:0.02pt;padding-right:0.02pt"><font style="color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:132%">Fee paid previously with preliminary materials. </font></div></td></tr><tr style="height:9pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="margin-bottom:1pt;margin-top:3.25pt;padding-left:0.02pt;padding-right:0.02pt;text-align:justify"><font style="color:#000000;font-family:'Wingdings',sans-serif;font-size:10pt;font-weight:400;line-height:132%">&#9744;</font></div></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="margin-bottom:1pt;margin-top:3.25pt;padding-left:0.02pt;padding-right:0.02pt"><font style="color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:132%">Fee computed on table in exhibit required by Item 25(b) per Exchange Act Rules 14a-6(i)(1) and 0-11.</font></div></td></tr></table></div><div style="margin-top:5pt"><font><br></font></div><div><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:99.927%"><tr><td style="width:1.0%"></td><td style="width:98.900%"></td><td style="width:0.1%"></td></tr><tr style="height:15pt"><td colspan="3" style="border-bottom:4.5pt solid #000000;border-top:1.5pt solid #000000;padding:0 1pt"></td></tr></table></div><div><font><br></font></div><div style="height:45.36pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div style="text-align:center"><font><br></font></div></div></div><div id="i8b6a7ef7411e402fa8596f1b66ca1541_4"></div><hr style="page-break-after:always"><div style="min-height:45.36pt;width:100%"><div><font><br></font></div></div><div style="margin-top:10pt;text-align:center"><font style="background-color:#ffffff;color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:700;line-height:128%">EXPLANATORY NOTE</font></div><div style="text-align:justify;text-indent:36pt"><font><br></font></div><div style="text-align:justify;text-indent:36pt"><font style="color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:139%">This Amendment No. 1 (this &#8220;Amendment&#8221;) amends the definitive proxy statement of Serina Therapeutics, Inc. (the &#8220;Company&#8221;), filed with the U.S. Securities and Exchange Commission (&#8220;SEC&#8221;) on September 26, 2025 (the &#8220;Proxy Statement&#8221;) in connection with the Company&#8217;s 2025 Annual Meeting of Stockholders to be held on Friday, November 7, 2025, including any adjournment or postponement thereof (the &#8220;Meeting&#8221;). This Amendment supplements and amends certain disclosures relating to the proposal to approve, pursuant to NYSE American listing rules, the issuance of common stock in connection with the exercise of certain Convertible Note and Warrants (the &#8220;Convertible Note and Warrants Proposal&#8221;). </font></div><div style="text-align:justify;text-indent:36pt"><font><br></font></div><div style="text-align:justify;text-indent:36pt"><font style="color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:139%">The Amendment should be read in conjunction with the Proxy Statement, which should be read in its entirety and is available free of charge on the SEC&#8217;s website at www.sec.gov. Page number references below are to page numbers in the Proxy Statement, and capitalized terms used but not defined herein have the meanings set forth in the Proxy Statement. Underlined text shows text being added to a referenced disclosure in the Proxy Statement, and strikethrough text shows text being removed from a referenced disclosure in the Proxy Statement.</font></div><div style="text-align:justify;text-indent:36pt"><font><br></font></div><div style="text-align:justify;text-indent:36pt"><font style="color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:139%">Proxies already received will continue to be voted as instructed unless otherwise revoked or changed by a subsequent proxy.</font></div><div style="text-align:justify;text-indent:36pt"><font><br></font></div><div style="text-align:justify;text-indent:36pt"><font style="color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:139%">EXCEPT AS DESCRIBED IN THIS AMENDMENT, THE INFORMATION PROVIDED IN THE PROXY STATEMENT REMAINS UNCHANGED. TO THE EXTENT THAT INFORMATION IN THIS AMENDMENT DIFFERS FROM OR UPDATES INFORMATION CONTAINED IN THE PROXY STATEMENT, THE INFORMATION IN THIS AMENDMENT SHALL BE DEEMED TO REPLACE AND SUPERSEDE THE PROXY STATEMENT, AND THE INFORMATION PROVIDED HEREIN SHALL GOVERN. THE PROXY STATEMENT CONTAINS ADDITIONAL INFORMATION. THIS AMENDMENT SHOULD BE READ IN CONJUNCTION WITH THE PROXY STATEMENT.</font></div><div style="text-align:justify;text-indent:36pt"><font><br></font></div><div style="margin-top:10pt;text-align:center"><font><br></font></div><div style="height:45.36pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div style="text-align:center"><font><br></font></div></div></div><hr style="page-break-after:always"><div style="min-height:45.36pt;width:100%"><div><font><br></font></div></div><div style="text-align:center"><font><br></font></div><div style="margin-top:10pt;text-align:justify"><font style="background-color:#ffffff;color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-style:italic;font-weight:700;line-height:128%">The following disclosure amends and restates the paragraph under the heading &#8220;CONVERTIBLE NOTE AND WARRANTS PROPOSAL &#8211; General&#8221; on page 30 of the Proxy Statement&#58;</font></div><div style="text-align:justify;text-indent:36pt"><font><br></font></div><div style="text-align:justify;text-indent:36pt"><font style="background-color:#ffffff;color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:139%">The Company is asking stockholders to approve, for purposes of complying with </font><font style="background-color:#ffffff;color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:139%;text-decoration:line-through">Section</font><font style="background-color:#ffffff;color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:139%;text-decoration:underline">Sections 711 and</font><font style="background-color:#ffffff;color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:139%"> 713(a) of the NYSE American Company Guide, the potential issuance of </font><font style="background-color:#ffffff;color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:139%;text-decoration:line-through">20% or more of the issued and outstanding</font><font style="color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:139%;text-decoration:line-through"> </font><font style="background-color:#ffffff;color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:139%">shares of the Company's common stock to the holders of the Convertible Note and Warrants (as defined below).</font></div><div style="margin-top:10pt;padding-right:-4.5pt;text-align:justify"><font style="background-color:#ffffff;color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-style:italic;font-weight:700;line-height:128%">The following disclosure is inserted as a new paragraph under the heading &#8220;CONVERTIBLE NOTE AND WARRANTS PROPOSAL &#8211; NYSE American Approval Requirement&#8221; on page 31 of the Proxy Statement&#58;</font></div><div style="text-align:justify"><font><br></font></div><div style="text-align:justify;text-indent:36pt"><font style="background-color:#ffffff;color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:139%;text-decoration:underline">NYSE American Company Guide Rule 711 requires stockholder approval for the establishment of (or material amendment to) a stock option or purchase plan or other equity compensation arrangement pursuant to which options or stock may be acquired by officers, directors, employees, or consultants of the Company. The NYSE American has advised that, because Dr. Bailey is a director of the Company, under certain circumstances the issuance of shares of the Company&#8217;s common stock to Dr. Bailey pursuant to the Convertible Note and Warrants could be considered equity compensation for purposes of Rule 711, depending on the market price of the Company&#8217;s common stock at the time of each funding of the Convertible Note, among other factors. </font></div><div style="margin-top:10pt;text-align:justify"><font style="background-color:#ffffff;color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-style:italic;font-weight:700;line-height:128%">The following disclosure amends and restates the paragraph under the heading &#8220;CONVERTIBLE NOTE AND WARRANTS PROPOSAL &#8211; Consequences of Not Approving this Proposal&#8221; on pages 31-32 of the Proxy Statement&#58;</font></div><div style="text-align:justify"><font><br></font></div><div style="text-align:justify;text-indent:36pt"><font style="background-color:#ffffff;color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:139%">If our stockholders do not approve the Convertible Note and Warrants Proposal, we will not be able to issue </font><font style="background-color:#ffffff;color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:139%;text-decoration:line-through">20% or more of our outstanding </font><font style="background-color:#ffffff;color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:139%">shares of our common stock to the holders of the Convertible Note and the Warrants. Accordingly, our Board of Directors believes that it is in our best interest, and in the best interest of our stockholders, to approve the potential issuance of </font><font style="background-color:#ffffff;color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:139%;text-decoration:line-through">20% or more of our pre-transaction total outstanding </font><font style="background-color:#ffffff;color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:139%">shares of common stock that may be issued in accordance with the Convertible Note and Warrants. </font></div><div style="text-align:justify;text-indent:36pt"><font><br></font></div><div style="text-align:justify;text-indent:36pt"><font style="color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:139%">Absent approval of this Convertible Note and Warrants Proposal, we are left with limited financial and corporate flexibility with respect to our ability to satisfy obligations under the Convertible Note and Warrants with shares of our common stock, which could have a material adverse effect on our financial condition.</font></div><div><font><br></font></div><div style="text-align:center"><font style="background-color:#ffffff;color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:700;line-height:139%">* * *</font></div><div><font><br></font></div><div><font style="background-color:#ffffff;color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:700;line-height:139%">Important Notice Regarding the Availability of Proxy Materials for the Stockholder Meeting to be Held November 7, 2025.</font></div><div><font><br></font></div><div><font style="background-color:#ffffff;color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:139%">The Letter to Stockholders, Notice of Annual Meeting, Proxy Statement, Annual Report on Form 10-K and this Amendment, are available at&#58; www.virtualshareholdermeeting.com&#47;SER2025.</font></div><div><font><br></font></div><div><font style="background-color:#ffffff;color:#000000;font-family:'Times New Roman',serif;font-size:10pt;font-weight:400;line-height:139%">This Amendment is being filed with the SEC on October 27, 2025. </font></div><div><font><br></font></div><div style="height:45.36pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div style="text-align:center"><font><br></font></div></div></div></body></html>
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</DOCUMENT>
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