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. 27)
AGEX THERAPEUTICS, INC.
(Name of Issuer)
Common Stock, par value $0.0001 per share
(Title of Class of
Securities)
00848H108
(CUSIP number)
David Gill
c/o Juvenescence Limited
1st Floor, Viking House
St Pauls Square, Ramsey
Isle of Man, IM8 1GB
+441624639393
(Name, Address and
Telephone Number of Person Authorized to Receive Notices and Communications)
November 15, 2023
(Date of Event Which
Requires Filing of this Statement)
If the filing person has previously filed a statement
on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e),
13d-1(f) or 13d-1(g), check the following box ¨.
Note:
Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b) for
other parties to whom copies are to be sent.
The information required on the remainder of this
cover page shall not be deemed “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 or otherwise
subject to the liabilities of that section of the Act by shall be subject to all other provisions of the Act (however, see the
Notes).
1. |
NAME
OF REPORTING PERSON
Juvenescence
Limited |
2. |
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) ¨ (b) ¨ |
3. |
SEC
USE ONLY |
4. |
SOURCE
OF FUNDS
WC |
5. |
CHECK
BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)
¨ |
6. |
CITIZENSHIP
OR PLACE OF ORGANIZATION
Isle
of Man |
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING
PERSON WITH |
7. |
SOLE
VOTING POWER
82,705,9491 |
8. |
SHARED
VOTING POWER
0 |
9. |
SOLE
DISPOSITIVE POWER
82,705,9491 |
10. |
SHARED
DISPOSITIVE POWER
0 |
11. |
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
82,705,9491 |
12. |
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
¨ |
13. |
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 11
79.4% |
14. |
TYPE
OF REPORTING PERSON
CO |
|
|
|
|
1
Comprised of (i) 16,447,500 shares of Common Stock held directly by Juvenescence US Corp., (ii) 901,364 shares of Common Stock
that may be acquired on exercise of Warrants issued or to be issued in connection with advances under the New Facility, (iii) 10,357,086
shares of Common Stock that may be acquired on exercise of Warrants issued or to be issued in connection with advances under the A&R
Secured Note, (iv) 29,388,888 shares of Common Stock held directly by Juvenescence US Corp. that may be issued upon conversion of 211,600
shares of Series A Preferred Stock, (v) 20,611,111 shares of Common Stock held directly by Juvenescence US Corp. that may be issued upon
conversion of 148,400 shares of Series B Preferred Stock and (vi) 5,000,000 shares of Common Stock that may be issued upon conversion
of outstanding amounts under the A&R Secured Note at the closing price of the Common Stock on November 14, 2023 (capitalized terms
are defined below).
1. |
NAME
OF REPORTING PERSON
Juvenescence
US Corp. |
2. |
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) ¨ (b) ¨ |
3. |
SEC
USE ONLY |
4. |
SOURCE
OF FUNDS
WC |
5. |
CHECK
BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)
¨ |
6. |
CITIZENSHIP
OR PLACE OF ORGANIZATION
Delaware |
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING
PERSON WITH |
7. |
SOLE
VOTING POWER
66,447,499 |
8. |
SHARED
VOTING POWER
0 |
9. |
SOLE
DISPOSITIVE POWER
66,447,499 |
10. |
SHARED
DISPOSITIVE POWER
0 |
11. |
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
66,447,499 |
12. |
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
¨ |
13. |
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 11
75.6% |
14. |
TYPE
OF REPORTING PERSON
CO |
|
|
|
|
SCHEDULE 13D
This amendment (the “Amendment”) amends
and supplements the beneficial ownership statement on Schedule 13D filed with the Securities and Exchange Commission on August 16,
2019 (as amended by Amendment No. 1 filed April 6, 2020, Amendment No. 2 filed July 31, 2020, Amendment No. 3
filed October 7, 2020, Amendment No. 4 filed November 11, 2020, Amendment No. 5 filed January 12, 2021, Amendment
No. 6 filed February 9, 2021, Amendment No. 7 filed February 17, 2021, Amendment No. 8 filed May 11, 2021,
Amendment No. 9 filed May 11, 2021, Amendment No. 10 filed September 14, 2021, Amendment No. 11 filed November 2,
2021, Amendment No. 12 filed November 18, 2021, Amendment No. 13 filed December 13, 2021, Amendment No. 14 filed
February 14, 2022, Amendment No. 15 filed February 22, 2022, Amendment No. 16 filed April 11, 2022, Amendment
No. 17 filed June 24, 2022, Amendment No. 18 filed August 23, 2022, Amendment No. 19 filed October 25, 2022,
Amendment No. 20 filed December 15, 2022, Amendment No. 21 filed January 25, 2023, Amendment No. 22 filed February 17,
2023, Amendment No. 23 filed March 22, 2023, Amendment No. 24 filed April 12, 2023, Amendment No. 25 filed August 24,
2023, and Amendment No. 26 filed November 1, 2023, the “Original Statement”). The Original Statement, as amended
by this Amendment (the “Statement”) is filed on behalf of Juvenescence Limited, an Isle of Man company (the “Reporting
Person”), and relates to the shares of Common Stock of AgeX Therapeutics, Inc., par value $0.0001 per share (the “Common
Stock”).
Capitalized terms used but not defined in this
Amendment have the meanings ascribed to them in the Original Statement. This Amendment amends the Original Statement as specifically set
forth herein. Except as set forth below, all previous Items in the Original Statement remain unchanged.
Item 5. |
Interest in Securities of the Issuer. |
Item 5 of the Original Statement is hereby amended and restated in
its entirety to read as follows:
(a) The
Reporting Persons beneficially owns an aggregate of 82,705,949 shares of Common Stock, representing (i) 16,447,500 shares of Common
Stock held directly by Juvenescence US Corp., (ii) 901,364 shares of Common Stock that may be acquired on exercise of Warrants issued
or to be issued in connection with advances under the New Facility (as defined below), (iii) 10,357,086 shares of Common Stock that
may be acquired on exercise of Warrants issued or to be issued in connection with advances under the A&R Secured Note (as defined
below), (iv) 29,388,888 shares of Common Stock held directly by Juvenescence US Corp. that may be issued upon conversion of 211,600
shares of Series A Preferred Stock, (v) 20,611,111 shares of Common Stock held directly by Juvenescence US Corp. that may be
issued upon conversion of 148,400 shares of Series B Preferred Stock and (vi) 5,000,000 shares of Common Stock that may be issued
upon conversion of outstanding amounts under the A&R Secured Note at the closing price of the Common Stock on November 14,
2023. This aggregate amount represents approximately 79.4% of the Issuer’s outstanding common stock, based upon 37,951,261
shares outstanding as of November 6, 2023, as reported on the Issuer’s Annual Report filed on Form 10-Q on November 14,
2023, and giving effect to the exercise of the Warrants and conversion of amounts outstanding under the A&R Secured Note and the Spring
2023 Note (and assuming the Amendment Caps do not apply).
(b) The
information in Items 7 through 10 of each cover page is incorporated by reference into this Item 5(b).
(c) Except
for the information set forth in Item 6, which is incorporated by reference into this Item 5(c), the Reporting Persons have effected no
transactions relating to the Common Stock during the past 60 days.
(d) - (e) Not applicable.
Item 6. |
Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. |
Item 6 of the Original Statement is hereby supplemented as follows:
On November 15, 2023, the Reporting Person funded additional advances
to the Issuer each in the principal amount of $500,000.
SIGNATURES
After reasonable inquiry and to the best of their knowledge and belief,
the undersigned certify that the information set forth in this Statement is true, complete and correct.
Date: November 16, 2023
JUVENESCENCE
LIMITED |
|
|
|
|
By: |
/s/
Gregory H. Bailey |
|
Name: |
Gregory H. Bailey |
|
Title: |
Executive Chairman |
|
Date: November 16, 2023
JUVENESCENCE
US CORP. |
|
|
|
|
By: |
/s/
David Gill |
|
Name: |
David Gill |
|
Title: |
Vice President and Treasurer |
|
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