Basic Stats
| LEI | 54930036LMXCIW3XG337 |
| CIK | 882291 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Aethlon Medical, Inc.
SEC Filings (Chronological Order)
This page provides a complete, chronological list of SEC Filings, excluding ownership filings which we provide elsewhere.
| September 5, 2025 |
AETHLON MEDICAL, INC. S-1 Filed Pursuant to Rule 424(b)(4) Registration No. 333-289745 Up to 4,047,780 Shares of Common Stock Pre-Funded Warrants to Purchase up to 952,220 Shares of Common Stock Warrants to Purchase up to 5,000,000 Shares of Common Stock Placement Agent Warrants to Purchase up to 200,000 shares of Common Stock 6,152,220 Shares of Common Stock Issuable upon the Exercise of the Warr |
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| August 29, 2025 |
Exhibit 4.13 AETHLON MEDICAL, INC. and COMPUTERSHARE, INC. and COMPUTERSHARE TRUST COMPANY, N.A. as Warrant Agent Warrant Agency Agreement Dated as of , 2025 WARRANT AGENCY AGREEMENT WARRANT AGENCY AGREEMENT, dated as of , 2025 (“Agreement”), by and between Aethlon Medical, Inc., a Nevada corporation (the “Company”), and Computershare Inc., a Delaware corporation (“Computershare Inc.”) and its aff |
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| August 29, 2025 |
FORM OF PRE-FUNDED COMMON STOCK PURCHASE WARRANT Aethlon medical, inc. Exhibit 4.11 FORM OF PRE-FUNDED COMMON STOCK PURCHASE WARRANT Aethlon medical, inc. Warrant Shares: [ ˜ ] Issue Date and Initial Exercise Date: [ ], 2025 THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at an |
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| August 29, 2025 |
Exhibit 10.21 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of [-], 2025 between Aethlon Medical, Inc., a Nevada corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and conditions set fort |
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| August 29, 2025 |
As filed with the Securities and Exchange Commission on August 29, 2025 Table of Contents As filed with the Securities and Exchange Commission on August 29, 2025 Registration Statement No. |
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| August 29, 2025 |
Exhibit 1.1 CONFIDENTIAL [-], 2025 Mr. James B. Frakes Chief Executive Officer and Chief Financial Officer Aethlon Medical, Inc. 11555 Sorrento Valley Road, Suite 203 San Diego, CA 92121 Dear Mr. Frakes, This agreement (the “Agreement”) constitutes the agreement between Aethlon Medical, Inc., a Nevada corporation (the “Company”), and Maxim Group LLC (“Maxim” or the “Lead Manager”), that Maxim shal |
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| August 29, 2025 |
COMMON STOCK PURCHASE WARRANT AETHLON MEDICAL, Inc. Exhibit 4.12 COMMON STOCK PURCHASE WARRANT AETHLON MEDICAL, Inc. Warrant Shares: Initial Exercise Date: [], 2025 CUSIP: THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time and from time to time from and after t |
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| August 29, 2025 |
COMMON STOCK PURCHASE WARRANT AETHLON MEDICAL, Inc. Exhibit 4.14 COMMON STOCK PURCHASE WARRANT AETHLON MEDICAL, Inc. Warrant Shares: Initial Exercise Date: [-], 2025 CUSIP: THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after [-], 2025 (the “Initial E |
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| August 21, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 21, 2025 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction of incorporation) (Commission Fil |
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| August 21, 2025 |
Corporate Presentation The Hemopurifier® Exhibit 99.1 Corporate Presentation The Hemopurifier® FORWARD LOOKING STATEMENTS 2 This investor presentation contains forward - looking statements, as that term is defined in the Private Securities Litigation Reform Act of 1995 as contained in Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended, which are subject to the “safe h |
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| August 20, 2025 |
Aethlon Medical, Inc. 11555 Sorrento Valley Road, Suite 203 San Diego, CA 92121 Aethlon Medical, Inc. 11555 Sorrento Valley Road, Suite 203 San Diego, CA 92121 August 20, 2025 VIA EDGAR Division of Corporation Finance U.S. Securities & Exchange Commission (the “Commission”) 100 F Street, N.E. Washington, D.C. 20549 Re: Aethlon Medical, Inc. Offering Statement on Form 1-A File No. 024-12551 Ladies and Gentlemen: In accordance with Rule 259 under the Securities Act of 1933, as |
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| August 20, 2025 |
Ex-Filing Fees CALCULATION OF FILING FEE TABLES S-1 Aethlon Medical, Inc. Table 1: Newly Registered and Carry Forward Securities Line Item Type Security Type Security Class Title Notes Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Newly Registered Securities Fees to be Paid Equity Common Stock, $ |
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| August 20, 2025 |
As filed with the Securities and Exchange Commission on August 20, 2025 Table of Contents As filed with the Securities and Exchange Commission on August 20, 2025 Registration Statement No. |
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| August 13, 2025 |
Exhibit 99.1 Aethlon Medical Announces Financial Results for the Fiscal First Quarter Ended June 30, 2025, and Provides Corporate Update Australian Cancer Trial Advances with First Cohort Complete, Amended Protocol, and Promising Preclinical Data Published; Operating Expenses Cut by 32% Conference Call to be Held Today at 4:30 p.m. ET SAN DIEGO, August 13, 2025 - Aethlon Medical, Inc. (the Company |
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| August 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 13, 2025 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction of incorporation) (Commission Fil |
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| August 13, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to COMMISSION FILE NUMBER 001 |
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| July 25, 2025 |
Table of Contents Confidential Treatment Requested by Aethlon Medical, Inc.. Pursuant to 17 C.F.R. Section 200.83 As submitted confidentially to the Securities and Exchange Commission on July 25, 2025. This draft registration statement has not been publicly filed with the Securities and Exchange Commission, and all information herein remains strictly confidential. Registration Statement No. 333- U |
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| June 27, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 26, 2025 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction of incorporation) (Commission File |
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| June 27, 2025 |
Exhibit 99.1 Earnings Script Aethlon Medical Announces Financial Results for the Fiscal Fourth Quarter Ended March 31, 2025, and Provides Corporate Update Three Patients Treated in Hemopurifier® Cancer Trial; Indian Regulatory Approval Achieved; Operating Expenses Reduced; R&D Advances Support Expanded Indications Including Long COVID Conference Call to be Held Today at 4:30 p.m. ET SAN DIEGO, Jun |
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| June 26, 2025 |
Exhibit 19.1 AETHLON MEDICAL, INC. INSIDER TRADING POLICY Persons Covered This Insider Trading Policy of Aethlon Medical, Inc. (the “Company”) applies to all directors, officers, other employees and consultants of the Company and any subsidiaries. It also applies to their family members who reside with them, anyone else who lives in their households and any family members who do not live in their |
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| June 26, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (MARK ONE) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to COMMISSION FILE NUMBER 001-37487 |
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| June 26, 2025 |
Description of Aethlon Medical, Inc.’s Securities. Exhibit 4.9 DESCRIPTION OF COMMON STOCK The following description summarizes the most important terms of our common stock. Because it is only a summary, it does not contain all the information that may be important to you. For a complete description of the matters set forth in this “Description of Common Stock,” you should refer to our articles of incorporation, as amended, or the articles of inco |
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| June 26, 2025 |
Exhibit 21.1 LIST OF SUBSIDIARIES Aethlon Medical Australia Pty Ltd. |
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| June 26, 2025 |
Incentive Compensation Recoupment Policy. Exhibit 97.1 Aethlon Medical, Inc. Incentive Compensation Recoupment Policy 1. Introduction The Compensation Committee (the “Compensation Committee”) of the Board of Directors (the “Board”) of Aethlon Medical, Inc., a Nevada corporation (the “Company”), has determined that it is in the best interests of the Company and its stockholders to adopt this Incentive Compensation Recoupment Policy (this “ |
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| June 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 5, 2025 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction of incorporation) (Commission File N |
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| May 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 13, 2025 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction of incorporation) (Commission File N |
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| April 18, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| April 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| March 17, 2025 |
Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| March 17, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 16, 2025 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction of incorporation) (Commission File |
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| March 17, 2025 |
Exhibit 10.1 AETHLON MEDICAL, INC. 11555 Sorrento Valley Road, Suite 203 San Diego, CA 92121 March 16, 2025 To the Holder of May 2024 Class A Warrants and Class B Warrants Re: Inducement Offer to Exercise Existing Class A Warrants and Class B Warrants Dear Holder: Aethlon Medical, Inc. (the “Company”) is pleased to offer to you the opportunity to exercise all the Class A and Class B warrants to pu |
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| February 12, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 12, 2025 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction of incorporation) (Commission F |
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| February 12, 2025 |
Exhibit 99.1 Aethlon Medical Announces Financial Results for the Fiscal Third Quarter Ended December 31, 2024 and Provides Corporate Update Key Milestone Achieved: First Patient treated in Hemopurifier® Safety, Feasibility, and Dose Finding Study for Solid Tumors Not Responding to Anti-PD-1 Antibodies Patient Enrollment Open at Two Australian for Hemopurifier® Cancer Trial Operating Expenses Signi |
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| February 12, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to COMMISSION FILE NUMBER |
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| January 30, 2025 |
PRELIMINARY OFFERING CIRCULAR DATED JANUARY 30, 2025 PRELIMINARY OFFERING CIRCULAR DATED JANUARY 30, 2025 AN OFFERING STATEMENT PURSUANT TO REGULATION A RELATING TO THESE SECURITIES HAS BEEN FILED WITH THE SECURITIES AND EXCHANGE COMMISSION. |
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| January 30, 2025 |
Consent of Independent Registered Public Accounting Firm Exhibit 11.1 Consent of Independent Registered Public Accounting Firm We hereby consent to the use in this Amendment No. 1 to Offering Statement on Form 1-A of our report dated June 27, 2024, relating to the consolidated financial statements of Aethlon Medical, Inc. for the year ended March 31, 2024, which appears in such Offering Statement. Our report includes an explanatory paragraph about the e |
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| January 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 7, 2025 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction of incorporation) (Commission Fil |
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| December 27, 2024 |
PRELIMINARY OFFERING CIRCULAR DATED DECEMBER 27, 2024 PRELIMINARY OFFERING CIRCULAR DATED DECEMBER 27, 2024 AN OFFERING STATEMENT PURSUANT TO REGULATION A RELATING TO THESE SECURITIES HAS BEEN FILED WITH THE SECURITIES AND EXCHANGE COMMISSION. |
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| December 27, 2024 |
Consent of Independent Registered Public Accounting Firm Exhibit 11.1 Consent of Independent Registered Public Accounting Firm We hereby consent to the use in this Offering Statement on Form 1-A of our report dated June 27, 2024, relating to the consolidated financial statements of Aethlon Medical, Inc. for the year ended March 31, 2024, which appears in such Offering Statement. Our report includes an explanatory paragraph about the existence of substan |
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| December 20, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 20, 2024 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction of incorporation) (Commission F |
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| December 20, 2024 |
Aethlon Medical Provides Update on the Ability of Its Hemopurifier® to Capture H5N1 Bird Flu Exhibit 99.1 Aethlon Medical Provides Update on the Ability of Its Hemopurifier® to Capture H5N1 Bird Flu SAN DIEGO, December 20, 2024 - Aethlon Medical, Inc. (Nasdaq: AEMD), a medical therapeutic company focused on developing products to treat cancer and life-threatening infectious diseases, today provided a statement of its investigational medical device with respect to H5N1 avian influenza “Bir |
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| November 15, 2024 |
Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Aethlon Medical, Inc. |
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| November 15, 2024 |
As filed with the Securities and Exchange Commission on November 15, 2024 S-8 1 aethlons8.htm S-8 As filed with the Securities and Exchange Commission on November 15, 2024 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 13-3632859 (State or other jurisdiction of incorporation) ( |
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| November 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 13, 2024 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction of incorporation) (Commission F |
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| November 13, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to COMMISSION FILE NUMBE |
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| November 13, 2024 |
Exhibit 99.1 Aethlon Medical Announces Financial Results for the Fiscal Second Quarter Ended September 30, 2024 and Provides Corporate Update Achieves Key Milestone with Enrollment of First Two Patients in the Safety, Feasibility, and Dose Finding Study of Aethlon’s Hemopurifier® in Patients with Solid Tumors Not Responding to Anti-PD-1 Antibodies Two Australian Sites Open For Patient Enrollment i |
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| November 12, 2024 |
Exhibit 99.1 Aethlon Medical Reaches Key Milestone with Enrollment of the First Patient in (FPI) Its Hemopurifier® Cancer Trial in Australia Patient Enrolled at the Cancer Clinical Trial Unit, CALHN, Royal Adelaide Hospital Aethlon’s Trial is a Safety, Feasibility, and Dose Finding Study of the Hemopurifier® in Patients with Solid Tumors Not Responding to Anti-PD-1 Antibodies SAN DIEGO, November 1 |
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| November 12, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 11, 2024 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction of incorporation) (Commission F |
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| October 3, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 3, 2024 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction of incorporation) (Commission Fil |
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| October 2, 2024 |
Exhibit 10.1 Aethlon Medical, Inc. 2020 Equity Incentive Plan Adopted by the Board of Directors: February 6, 2020 Approved by the Stockholders: September 15, 2020 Amended by the Board: March 24, 2022 Amended by the Board: July 15, 2022 Approved by the Stockholders: September 15, 2022 Amended by the Board: August 6, 2024 Approved by the Stockholders: September 27, 2024 TABLE OF CONTENTS Page 1 GENE |
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| October 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 27, 2024 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction of incorporation) (Commission |
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| September 19, 2024 |
Exhibit 99.1 Aethlon Receives Ethics Committee Approval for Hemopurifier® Cancer Trial in India Aethlon Medical Granted Full Ethics Approval from the Medanta Institutional Ethics Committee for a Safety, Feasibility, and Dose Finding Study of its Hemopurifier® in Cancer Patients with Solid Tumors Not Responding to Anti-PD-1 Antibodies SAN DIEGO, September 19, 2024 - Aethlon Medical, Inc. (Nasdaq: A |
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| September 19, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 19, 2024 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction of incorporation) (Commission |
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| August 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defini |
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| August 15, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 1) (MARK ONE) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to COMMISSION FI |
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| August 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defini |
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| August 14, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to COMMISSION FILE NUMBER 001 |
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| August 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 14, 2024 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction of incorporation) (Commission Fil |
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| August 14, 2024 |
Exhibit 99.1 Aethlon Medical Announces Financial Results for the Fiscal First Quarter Ended June 30, 2024 and Provides Corporate Update Received Two Australian Ethics Committee Approvals for a Safety, Feasibility, and Dose Finding Study of Aethlon’s Hemopurifier® in Patients with Solid Tumors Not Responding to Anti-PD-1 Antibodies; Expects to Open Patient Enrollment in October of 2024 Achieved Sig |
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| August 12, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2024 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction of incorporation) (Commission Fil |
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| August 12, 2024 |
Exhibit 99.1 Aethlon Medical Receives Second Ethics Committee Approval for Hemopurifier® Cancer Trial Bellberry Human Research Ethics Committee Granted Full Ethics Approval to the Pindara Private Hospital for a Safety, Feasibility, and Dose Finding Study of Aethlon’s Hemopurifier® in Patients with Solid Tumors Not Responding to Anti-PD-1 Antibodies SAN DIEGO, August 12, 2024 - Aethlon Medical, Inc |
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| July 3, 2024 |
Letter from Baker Tilly US, LLP to the Securities and Exchange Commission, dated July 3, 2024. Exhibit 16.1 Baker Tilly Advisory Group, LP 3655 Nobel Dr,Suite 300 San Diego, CA 92122 United States of America T: +1 (858) 597 4100 F: +1 (858) 597 4111 bakertilly.com July 3, 2024 Securities and Exchange Commission 100 F Street, N E Washington, DC 20549 Dear Ladies and Gentlemen: We are the former independent registered public accounting firm for Aethlon Medical, Inc. (the “Company”). We have r |
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| July 3, 2024 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 1, 2024 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction of incorporation) (Commission File N |
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| June 27, 2024 |
Incentive Compensation Recoupment Policy. Exhibit 97.1 Aethlon Medical, Inc. Incentive Compensation Recoupment Policy 1. Introduction The Compensation Committee (the “Compensation Committee”) of the Board of Directors (the “Board”) of Aethlon Medical, Inc., a Nevada corporation (the “Company”), has determined that it is in the best interests of the Company and its stockholders to adopt this Incentive Compensation Recoupment Policy (this “ |
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| June 27, 2024 |
Exhibit 21.1 List of Subsidiaries Subsidiary Percentage Owned by Aethlon Medical, Inc. Jurisdiction of Incorporation Aethlon Medical Australia Pty Ltd 100% Australia |
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| June 27, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (MARK ONE) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to COMMISSION FILE NUMBER 001-37487 |
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| June 27, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 27, 2024 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction of incorporation) (Commission File |
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| June 27, 2024 |
Exhibit 99.1 Aethlon Medical Announces Financial Results for the Fiscal Year Ended March 31, 2024 and Provides Corporate Update Conference Call to be Held Today at 4:30 p.m. ET SAN DIEGO, June 27, 2024 - Aethlon Medical, Inc. (Nasdaq: AEMD), a medical therapeutic company focused on developing products to treat cancer and life-threatening infectious diseases, today reported financial results for it |
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| May 24, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 24, 2024 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction of incorporation) (Commission File N |
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| May 17, 2024 |
Form of Class A Warrant to Purchase Common Stock, issued on May 17, 2024. Exhibit 4.1 CLASS A COMMON STOCK PURCHASE WARRANT AETHLON MEDICAL, Inc. Warrant Shares: Initial Exercise Date: May 17, 2024 CUSIP: 00808Y 117 THIS CLASS A COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or af |
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| May 17, 2024 |
Form of Class B Warrant to Purchase Common Stock, issued on May 17, 2024. Exhibit 4.2 CLASS B COMMON STOCK PURCHASE WARRANT AETHLON MEDICAL, Inc. Warrant Shares: Initial Exercise Date: May 17, 2024 CUSIP: 00808Y 141 THIS CLASS B COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or af |
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| May 17, 2024 |
Aethlon Medical Announces Pricing of $4.7 Million Public Offering Exhibit 99.1 Aethlon Medical Announces Pricing of $4.7 Million Public Offering SAN DIEGO, May 15, 2024 - Aethlon Medical, Inc. (Nasdaq: AEMD), a medical therapeutic company focused on developing products to treat cancer and life-threatening infectious diseases, today announced the pricing of a public offering of an aggregate of 8,100,000 shares of its common stock (or pre-funded warrants in lieu t |
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| May 17, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2024 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction of incorporation) (Commission File N |
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| May 17, 2024 |
Form of Pre-Funded Warrant to Purchase Common Stock, issued on May 17, 2024. Exhibit 4.3 FORM OF PRE-FUNDED COMMON STOCK PURCHASE WARRANT AETHLON MEDICAL, INC. Warrant Shares: Issue Date and Initial Exercise Date: May 17, 2024 CUSIP: 00808Y 125 THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter se |
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| May 17, 2024 |
Form of Placement Agent Warrant to Purchase Common Stock, issued on May 17, 2024. Exhibit 4.4 PLACEMENT AGENT COMMON STOCK PURCHASE WARRANT AETHLON MEDICAL, Inc. Warrant Shares: 324,000 Initial Exercise Date: November 15, 2024 CUSIP: 00808Y 133 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, Maxim Partners LLC or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter |
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| May 16, 2024 |
Table of Contents Filed Pursuant to Rule 424(b)(4) Registration No. 333-278188 PROSPECTUS 2,450,000 Shares of Common Stock Pre-Funded Warrants to Purchase up to 5,650,000 Shares of Common Stock Class A Warrants to Purchase up to 8,100,000 Shares of Common Stock Class B Warrants to Purchase up to 8,100,000 Shares of Common Stock Placement Agent Warrants to Purchase up to 324,000 Shares of Common St |
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| May 15, 2024 |
Registration No. 333-278188 As filed with the Securities and Exchange Commission on May 15, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-effective Amendment No. 1 To FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 3826 13-3632859 (State or other jurisdiction of |
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| May 13, 2024 |
CLASS [A] [B] COMMON STOCK PURCHASE WARRANT AETHLON MEDICAL, Inc. Exhibit 4.6 CLASS [A] [B] COMMON STOCK PURCHASE WARRANT AETHLON MEDICAL, Inc. Warrant Shares: Initial Exercise Date: May [], 2024 CUSIP: THIS CLASS [A] [B] COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or a |
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| May 13, 2024 |
Table of Contents Registration No. 333-278188 As filed with the Securities and Exchange Commission on May 13, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 3 To FORM S-1/A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 3826 13-3632859 (State or other jurisdictio |
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| May 13, 2024 |
Form of Securities Purchase Agreement. Exhibit 10.20 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of [ ], 2024 between Aethlon Medical, Inc., a Nevada corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and conditions set fort |
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| May 10, 2024 |
Aethlon Medical, Inc. 11555 Sorrento Valley Road, Suite 203 San Diego, California 92121 Aethlon Medical, Inc. 11555 Sorrento Valley Road, Suite 203 San Diego, California 92121 May 10, 2024 Via Edgar U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Robert Augustin Re: Aethlon Medical, Inc. Registration Statement on Form S-1, as amended (File No. 333-278188) Acceleration Request Requested Date: May 14, 2024 Requeste |
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| May 10, 2024 |
MAXIM GROUP LLC 300 Park Avenue, 16th Floor New York, New York 10022 MAXIM GROUP LLC 300 Park Avenue, 16th Floor New York, New York 10022 May 10, 2024 VIA EDGAR CORRESPONDENCE U. |
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| May 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 10, 2024 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction of incorporation) (Commission File N |
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| May 10, 2024 |
Exhibit 99.1 Aethlon Medical Reports Positive Results From an In Vitro Binding Study of Its Hemopurifier® in Removing Extracellular Vesicles From Cancer Patient Plasma Translational Study Provides Pre-Clinical Evidence to Support The Design of a Phase 1 Study of the Hemopurifier In Cancer Patients With Solid Tumors Treated With Anti-PD-1 Antibodies SAN DIEGO, May 10, 2024 - Aethlon Medical, Inc. ( |
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| April 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2024 AETHLON MEDICAL, INC. (Exact name of Registrant as Specified in Its Charter) Nevada 001-37487 13-3632859 (State or Other Jurisdiction of Incorporation) (Commission File |
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| April 25, 2024 |
Nasdaq: AEMD www.AethlonMedical.com Corporate Presentation April 2024 Exhibit 99.1 Nasdaq: AEMD www.AethlonMedical.com Corporate Presentation April 2024 FORWARD LOOKING STATEMENTS This investor presentation contains forward - looking statements, as that term is defined in the Private Securities Litigation Ref orm Act of 1995 as contained in Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, a s a mended, wh |
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| April 25, 2024 |
Table of Contents Registration No. 333-278188 As filed with the Securities and Exchange Commission on April 25, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 2 To FORM S-1/A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 3826 13-3632859 (State or other jurisdict |
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| April 5, 2024 |
Table of Contents Registration No. 333-278188 As filed with the Securities and Exchange Commission on April 5, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 To FORM S-1/A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 3826 13-3632859 (State or other jurisdicti |
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| April 5, 2024 |
Form of Warrant to Purchase Common Stock. Exhibit 4.6 COMMON STOCK PURCHASE WARRANT AETHLON MEDICAL, Inc. Warrant Shares: Initial Exercise Date: [], 2024 CUSIP: THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after (the “Initial Exercise Date |
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| April 5, 2024 |
Form of Pre-Funded Warrant to Purchase Common Stock Exhibit 4.7 FORM OF PRE-FUNDED COMMON STOCK PURCHASE WARRANT AETHLON MEDICAL, INC. Warrant Shares: [l] Issue Date and Initial Exercise Date: [l], 2024 THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any t |
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| April 5, 2024 |
Form of Securities Purchase Agreement Exhibit 10.20 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of [ ], 2024 between Aethlon Medical, Inc., a Nevada corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and conditions set fort |
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| April 5, 2024 |
Form of Placement Agent Warrant to Purchase Common Stock Exhibit 4.8 PLACEMENT AGENT COMMON STOCK PURCHASE WARRANT AETHLON MEDICAL, Inc. Warrant Shares: Initial Exercise Date: [], 2024 CUSIP: THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time and from time to time f |
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| March 22, 2024 |
Exhibit 107 Calculation of Filing Fee Table Form S-1 (Form Type) Aethlon Medical, Inc. |
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| March 22, 2024 |
Table of Contents Registration No. 333- As filed with the Securities and Exchange Commission on March 22, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 3826 13-3632859 (State or other jurisdiction of incorporation or org |
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| February 14, 2024 |
Exhibit 99.1 Aethlon Medical Announces Fiscal Third Quarter Financial Results and Provides Corporate Update Conference Call to be Held Today at 4:30 p.m. ET SAN DIEGO, February 14, 2024 - Aethlon Medical, Inc. (Nasdaq: AEMD), a medical therapeutic company focused on developing products to treat cancer and life-threatening infectious diseases, today reported financial results for its fiscal third q |
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| February 14, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 14, 2024 AETHLON MEDICAL, INC. (Exact name of Registrant as Specified in Its Charter) Nevada 001-37487 13-3632859 (State or Other Jurisdiction of Incorporation) (Commission F |
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| February 14, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to COMMISSION FILE NUMBER |
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| December 22, 2023 |
Exhibit 10.1 AMENDMENT NO. 1 TO EXECUTIVE EMPLOYMENT AGREEMENT This AMENDMENT NO. 1 TO EXECUTIVE EMPLOYMENT AGREEMENT (this “Amendment”) is made and entered into effective as of November 7, 2023 (the “Effective Date”) by and between Aethlon Medical, Inc., a Nevada corporation (the “Company”), and James B. Frakes, an individual resident in the State of California (the “Employee”) (the Company and t |
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| December 22, 2023 |
Exhibit 10.2 AMENDMENT NO. 1 TO EXECUTIVE EMPLOYMENT AGREEMENT This AMENDMENT NO. 1 TO EXECUTIVE EMPLOYMENT AGREEMENT (this “Amendment”) is made and entered into effective as of November 7, 2023 (the “Effective Date”) by and between Aethlon Medical, Inc., a Nevada corporation (the “Company”), and Guy F. Cipriani, an individual resident in the State of California (the “Employee”) (the Company and t |
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| December 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A Amendment No. 1 CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 7, 2023 AETHLON MEDICAL, INC. (Exact name of Registrant as Specified in Its Charter) Nevada 001-37487 13-3632859 (State or Other Jurisdiction of Incorporati |
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| November 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 19, 2023 AETHLON MEDICAL, INC. (Exact name of Registrant as Specified in Its Charter) Nevada 001-37487 13-3632859 (State or Other Jurisdiction of Incorporation) (Commission F |
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| November 27, 2023 |
Separation Agreement between the Company and Dr. Fisher, effective as of November 27, 2023. Exhibit 10.1 11555 Sorrento Valley Road Suite 203 San Diego, CA 92121 Phone 619-941-0360 November 7, 2023 Charles J. Fisher, Jr. M.D. Re:Separation Agreement Dear Chuck: This letter sets forth the substance of the separation agreement (the “Agreement”) that Aethlon Medical, Inc. (the “Company”) is offering to you to aid in your employment transition. 1. Separation. Your employment termination date |
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| November 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 14, 2023 AETHLON MEDICAL, INC. (Exact name of Registrant as Specified in Its Charter) Nevada 001-37487 13-3632859 (State or Other Jurisdiction of Incorporation) (Commission F |
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| November 14, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to COMMISSION FILE NUMBE |
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| November 14, 2023 |
Exhibit 99.1 Aethlon Medical Announces Fiscal Second Quarter Financial Results and Provides Corporate Update Conference Call to be Held Today at 4:30 p.m. ET SAN DIEGO, November 14, 2023 - Aethlon Medical, Inc. (Nasdaq: AEMD), a medical therapeutic company focused on developing products to treat cancer and life threatening infectious diseases, today reported financial results for its fiscal second |
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| November 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 7, 2023 AETHLON MEDICAL, INC. (Exact name of Registrant as Specified in Its Charter) Nevada 001-37487 13-3632859 (State or Other Jurisdiction of Incorporation) (Commission Fi |
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| October 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 4, 2023 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction of incorporation) (Commission Fil |
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| October 4, 2023 |
Aethlon Announces Reverse Stock Split Exhibit 99.1 Aethlon Announces Reverse Stock Split SAN DIEGO, October 4, 2023 - Aethlon Medical, Inc. (Nasdaq: AEMD), a medical therapeutic company focused on developing products to treat cancer and life threatening infectious diseases, today announced that its Board of Directors has approved a 1-for-10 reverse stock split of the Company's common stock, effective at 5:00 p.m. ET on October 4, 2023 |
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| September 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 15, 2023 AETHLON MEDICAL, INC. (Exact name of Registrant as Specified in Its Charter) Nevada 001-37487 13-3632859 (State or Other Jurisdiction of Incorporation) (Commission |
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| August 10, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to COMMISSION FILE NUMBER 001 |
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| August 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 10, 2023 AETHLON MEDICAL, INC. (Exact name of Registrant as Specified in Its Charter) Nevada 001-37487 13-3632859 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| August 10, 2023 |
Exhibit 99.1 Aethlon Medical Announces Fiscal First Quarter Financial Results and Provides Corporate Update Conference Call to be Held Today at 4:30 p.m. ET SAN DIEGO, August 10, 2023 - Aethlon Medical, Inc. (Nasdaq: AEMD), a medical therapeutic company focused on developing products to treat cancer and life threatening infectious diseases, today reported financial results for its fiscal first qua |
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| July 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defini |
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| July 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defini |
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| July 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 3, 2023 AETHLON MEDICAL, INC. (Exact name of Registrant as Specified in Its Charter) Nevada 001-37487 13-3632859 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| June 28, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (MARK ONE) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to COMMISSION FILE NUMBER 001-37487 |
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| June 28, 2023 |
Exhibit 99.1 Aethlon Medical Announces Fiscal Year End Financial Results and Provides Corporate Update Conference Call to be Held Today at 4:30pm ET SAN DIEGO, June 28, 2023 - Aethlon Medical, Inc. (Nasdaq: AEMD), a medical therapeutic company focused on developing products to treat cancer and life threatening infectious diseases, today reported financial results for its fiscal year ended March 31 |
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| June 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 28, 2023 AETHLON MEDICAL, INC. (Exact name of Registrant as Specified in Its Charter) Nevada 001-37487 13-3632859 (State or Other Jurisdiction of Incorporation) (Commission File |
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| June 28, 2023 |
Exhibit 21.1 List of Subsidiaries Subsidiary Percentage Owned by Aethlon Medical, Inc. Jurisdiction of Incorporation Aethlon Medical Australia Pty Ltd 100% Australia |
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| June 28, 2023 |
Exhibit 10.18 AMENDMENT NO. 1 TO EXECUTIVE EMPLOYMENT AGREEMENT This AMENDMENT NO. 1 TO EXECUTIVE EMPLOYMENT AGREEMENT (this “Amendment”) is made and entered into as of May 1, 2023 (the “Effective Date”) by and between Aethlon Medical, Inc., a Delaware corporation (the “Company”), and Lee D. Arnold, Ph.D., an individual resident in the State of California (the “Employee”) (the Company and the Empl |
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| April 25, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2023 AETHLON MEDICAL, INC. (Exact name of Registrant as Specified in Its Charter) Nevada 001-37487 13-3632859 (State or Other Jurisdiction of Incorporation) (Commission File |
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| February 13, 2023 |
Exhibit 10.1 AETHLON MEDICAL, INC. EXECUTIVE EMPLOYMENT AGREEMENT for LEE D. ARNOLD, Ph.D. This Executive Employment Agreement (this “Agreement”) is made and entered into as of February 1, 2023 (the “Effective Date”), by and between Lee D. Arnold, Ph.D. (“Employee”) and Aethlon Medical, Inc. (the “Company”). 1. Employment by the Company. 1.1 Start Date and Position. Employee’s employment with the |
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| February 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 13, 2023 AETHLON MEDICAL, INC. (Exact name of Registrant as Specified in Its Charter) Nevada 001-37487 13-3632859 (State or Other Jurisdiction of Incorporation) (Commission F |
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| February 13, 2023 |
Aethlon Medical Announces Third Quarter Financial Results and Provides Corporate Update Exhibit 99.1 Aethlon Medical Announces Third Quarter Financial Results and Provides Corporate Update SAN DIEGO, February 13, 2023 - Aethlon Medical, Inc. (Nasdaq: AEMD), a medical therapeutic company focused on developing products to diagnose and treat cancer and life threatening infectious diseases, today reported financial results for its third quarter ended December 31, 2022 and provided an upd |
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| February 13, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to COMMISSION FILE NUMBER |
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| November 14, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 14, 2022 AETHLON MEDICAL, INC. (Exact name of Registrant as Specified in Its Charter) Nevada 001-37487 13-3632859 (State or Other Jurisdiction of Incorporation) (Commission F |
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| November 14, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to COMMISSION FILE NUMBE |
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| November 14, 2022 |
Aethlon Medical Announces Second Quarter Financial Results and Provides Corporate Update Exhibit 99.1 Aethlon Medical Announces Second Quarter Financial Results and Provides Corporate Update SAN DIEGO, Nov. 14, 2022 - Aethlon Medical, Inc. (Nasdaq: AEMD), a medical therapeutic company focused on developing products to diagnose and treat cancer and life threatening infectious diseases, today reported financial results for its second quarter ended September 30, 2022 and provided an upda |
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| October 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 25, 2022 AETHLON MEDICAL, INC. (Exact name of Registrant as Specified in Its Charter) Nevada 001-37487 13-3632859 (State or Other Jurisdiction of Incorporation) (Commission Fi |
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| September 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 29, 2022 AETHLON MEDICAL, INC. (Exact name of Registrant as Specified in Its Charter) Nevada 001-37487 13-3632859 (State or Other Jurisdiction of Incorporation) (Commission |
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| September 29, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 29, 2022 AETHLON MEDICAL, INC. (Exact name of Registrant as Specified in Its Charter) Nevada 001-37487 13-3632859 (State or Other Jurisdiction of Incorporation) (Commission |
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| September 29, 2022 |
Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-259909 PROSPECTUS SUPPLEMENT (To Prospectus Dated October 21, 2021) $6,625,000 Common Stock This prospectus supplement relates to the offer, issuance and sale from time to time of common stock having an aggregate offering price of up to $6,625,000 through H.C. Wainwright & Co., LLC, or Wainwright, as sales agent. These sales, |
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| September 19, 2022 |
Exhibit 99.2 As used in this Exhibit 99.2, unless the context indicates otherwise, references to ?the Company,? ?we,? ?us,? ?our? and similar references refer to Aethlon Medical, Inc. Capitalized terms used but not defined herein shall have the meanings ascribed to them in the Company?s Annual Report on Form 10-K for the fiscal year ended March 31, 2022 (?2022 Annual Report?), filed with the Secur |
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| September 19, 2022 |
As filed with the Securities and Exchange Commission on September 19, 2022 As filed with the Securities and Exchange Commission on September 19, 2022 Registration No. |
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| September 19, 2022 |
Articles of Incorporation, as amended. EXHIBIT 3.1 ARTICLES OF INCORPORATION OF BISHOP EQUITIES, INC. Article I - The Corporation The name of the corporation is Bishop Equities, Inc. (the "Corporation") and it is hereby incorporated pursuant to the laws of the State of Nevada. Article II - Duration of Existence The Corporation shall have perpetual existence. Article IV - Purposes and Powers of Corporation The Corporation shall have unl |
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| September 19, 2022 |
Exhibit 99.1 Aethlon Medical, Inc. 2020 Equity Incentive Plan Adopted by the Board of Directors: February 6, 2020 Approved by the Stockholders: September 15, 2020 Amended by the Board: March 24, 2022 Amended by the Board: July 15, 2022 Approved by the Stockholders: September 15, 2022 1. General 1 2. Shares Subject to the Plan 1 3. Eligibility and Limitations 2 4. Options and Stock Appreciation Rig |
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| September 19, 2022 |
Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Aethlon Medical, Inc. |
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| September 19, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 15, 2022 AETHLON MEDICAL, INC. (Exact name of Registrant as Specified in Its Charter) Nevada 001-37487 13-3632859 (State or Other Jurisdiction of Incorporation) (Commission |
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| August 9, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 9, 2022 AETHLON MEDICAL, INC. (Exact name of Registrant as Specified in Its Charter) Nevada 001-37487 13-3632859 (State or Other Jurisdiction of Incorporation) (Commission File |
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| August 9, 2022 |
Aethlon Medical Announces First Quarter Financial Results and Provides Corporate Update Exhibit 99.1 Aethlon Medical Announces First Quarter Financial Results and Provides Corporate Update SAN DIEGO, Aug. 9, 2022 - Aethlon Medical, Inc. (Nasdaq: AEMD), a medical therapeutic company focused on developing products to diagnose and treat cancer and life threatening infectious diseases, today reported financial results for its first quarter ended June 30, 2022 and provided an update on re |
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| August 9, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to COMMISSION FILE NUMBER 001 |
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| August 3, 2022 |
Filed Pursuant to Rule 424(b)(5) Registration No. 333-259909 AMENDMENT NO. 1 DATED AUGUST 2, 2022 To Prospectus Supplement dated March 24, 2022 (To Prospectus Dated October 21, 2021) $15,000,000 Common Stock We previously entered into a certain sales agreement, or the sales agreement, with H.C. Wainwright & Co., LLC, or Wainwright, acting as sales agent. As of August 2, 2022, we have sold 6,865,83 |
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| July 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defini |
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| July 15, 2022 |
SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| June 28, 2022 |
Aethlon Medical Announces Fiscal Year End Financial Results and Provides Corporate Update Exhibit 99.1 Aethlon Medical Announces Fiscal Year End Financial Results and Provides Corporate Update SAN DIEGO June 28, 2022 - Aethlon Medical, Inc. (Nasdaq: AEMD), a medical technology company focused on developing products to diagnose and treat life and organ threatening infectious diseases, today reported financial results for its fiscal year ended March 31, 2022 and provided an update on rec |
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| June 28, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (MARK ONE) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to COMMISSION FILE NUMBER 001-37487 |
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| June 28, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 28, 2022 AETHLON MEDICAL, INC. (Exact name of Registrant as Specified in Its Charter) Nevada 001-37487 13-3632859 (State or Other Jurisdiction of Incorporation) (Commission File |
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| June 28, 2022 |
Exhibit 10.8 AMENDMENT OF SOLICITATION OF CONTRACT 1. CONTRACT ID CODE PAGE OF PAGES 1 4 2. AMENDMENT/MODICATION NO. P00001 3. EFFECTIVE DATE See Block 16c 4. REQUISITION/PURCHASE REQ. NO. 5. PROJECT NO. (if applicable) 6. ISSUED BY CODE NCI-EXEC 7. ADMINISTERED BY (if other than Item 6) CODE NCI National Institutes of Health National Cancer Institute Bethesda, MD 20892-7511 National Institutes of |
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| March 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 23, 2022 AETHLON MEDICAL, INC. (Exact name of Registrant as Specified in Its Charter) Nevada 001-37487 13-3632859 (State or Other Jurisdiction of Incorporation) (Commission File |
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| March 24, 2022 |
Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-259909 PROSPECTUS SUPPLEMENT (To Prospectus Dated October 21, 2021) $15,000,000 Common Stock This prospectus supplement relates to the offer, issuance and sale from time to time of common stock having an aggregate offering price of up to $15,000,000 through H.C. Wainwright & Co., LLC, or Wainwright, as sales agent. These sales |
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| March 24, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 24, 2022 AETHLON MEDICAL, INC. (Exact name of Registrant as Specified in Its Charter) Nevada 001-37487 13-3632859 (State or Other Jurisdiction of Incorporation) (Commission File |
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| March 24, 2022 |
Exhibit 1.1 AT THE MARKET OFFERING AGREEMENT March 24, 2022 H.C. Wainwright & Co., LLC 430 Park Avenue New York, New York 10022 Ladies and Gentlemen: Aethlon Medical, Inc., a corporation organized under the laws of Nevada (the ?Company?), confirms its agreement (this ?Agreement?) with H.C. Wainwright & Co., LLC (the ?Manager?) as follows: 1. ? Definitions. The terms that follow, when used in this |
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| February 14, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 14, 2022 AETHLON MEDICAL, INC. (Exact name of Registrant as Specified in Its Charter) Nevada 001-37487 13-3632859 (State or Other Jurisdiction of Incorporation) (Commission F |
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| February 14, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to COMMISSION FILE NUMBER |
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| February 14, 2022 |
EXHIBIT 10.2 Aethlon Medical, Inc. Amended and Restated Non-Employee Director Compensation Policy February 10, 2022 Each member of the Board of Directors (the ?Board?) who is not also serving as an employee of or consultant to Aethlon Medical, Inc. (the ?Company?) or any of its subsidiaries (each such member, an ?Eligible Director?) will receive the compensation described in this Amended and Resta |
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| February 14, 2022 |
Aethlon Medical Announces Third Quarter Financial Results and Provides Corporate Update Exhibit 99.1 Aethlon Medical Announces Third Quarter Financial Results and Provides Corporate Update SAN DIEGO Feb. 14, 2022 - Aethlon Medical, Inc. (Nasdaq: AEMD), a company developing medical technology to treat cancer and life-threatening infectious diseases, today reported financial results for its third quarter ended December 31, 2021 and provided an update on recent developments. Company Upd |
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| January 13, 2022 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Aethlon Medical, Inc. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 00808Y307 (CUSIP Number) December 31, 2021 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuant to which th |
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| November 9, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2021 AETHLON MEDICAL, INC. (Exact name of Registrant as Specified in Its Charter) Nevada 001-37487 13-3632859 (State or Other Jurisdiction of Incorporation) (Commission Fi |
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| November 9, 2021 |
Lease between Aethlon Medical, Inc. and San Diego Inspire 5, LLC, effective October 27, 2021. Exhibit 10.1 LEASE SOVA CENTRAL SCIENCE DISTRICT SAN DIEGO INSPIRE 5, LLC, a Delaware limited liability company as Landlord, and AETHLON MEDICAL, INC., a Nevada corporation, as Tenant. Table of Contents Page 1 PREMISES, BUILDING, PROJECT, AND COMMON AREAS 5 2 LEASE TERM; OPTION TERM 6 3 BASE RENT 8 4 ADDITIONAL RENT 8 5 USE OF PREMISES 14 6 SERVICES AND UTILITIES 20 7 REPAIRS 23 8 ADDITIONS AND AL |
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| November 9, 2021 |
Exhibit 10.2 |
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| November 9, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to COMMISSION FILE NUMBE |
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| November 9, 2021 |
Aethlon Medical Announces Second Quarter Financial Results and Provides Corporate Update Exhibit 99.1 Aethlon Medical Announces Second Quarter Financial Results and Provides Corporate Update SAN DIEGO Nov. 9, 2021 - Aethlon Medical, Inc. (Nasdaq: AEMD), a company developing medical technology to treat cancer and life-threatening infectious diseases, today reported financial results for its second quarter ended September 30, 2021 and provided an update on recent developments. Company U |
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| November 1, 2021 |
Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 27, 2021 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction (Commission File Number) (IRS Em |
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| September 30, 2021 |
As filed with the Securities and Exchange Commission on September 30, 2021 As filed with the Securities and Exchange Commission on September 30, 2021 Registration No. |
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| September 17, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 15, 2021 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction (Commission File Number) (IRS |
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| August 9, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to COMMISSION FILE NUMBER 001 |
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| August 9, 2021 |
Aethlon Medical Announces First Quarter Financial Results and Provides Corporate Update Exhibit 99.1 Aethlon Medical Announces First Quarter Financial Results and Provides Corporate Update SAN DIEGO, CA, August 9, 2021 - Aethlon Medical, Inc. (Nasdaq: AEMD), a medical technology company focused on developing products to diagnose and treat life and organ threatening diseases, today reported financial results for its first quarter ended June 30, 2021 and provided an update on recent de |
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| August 9, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 9, 2021 AETHLON MEDICAL, INC. (Exact name of Registrant as Specified in Its Charter) Nevada 001-37487 13-3632859 (State or Other Jurisdiction of Incorporation) (Commission File |
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| July 28, 2021 |
Definitive Proxy Statement on Schedule 14A SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ? Definitive Additional Materials Soliciting Material Pursuant to ? 240. |
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| July 28, 2021 |
SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material Pursuant to ? 240. |
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| July 1, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 28, 2021 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction (Commission File Number) (IRS Emplo |
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| June 24, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 24, 2021 AETHLON MEDICAL, INC. (Exact name of Registrant as Specified in Its Charter) Nevada 001-37487 13-3632859 (State or Other Jurisdiction of Incorporation) (Commission File |
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| June 24, 2021 |
EXHIBIT 10.12 Aethlon Medical, Inc. Amended and Restated Non-Employee Director Compensation Policy October 30, 2020 Each member of the Board of Directors (the ?Board?) who is not also serving as an employee of or consultant to Aethlon Medical, Inc. (the ?Company?) or any of its subsidiaries (each such member, an ?Eligible Director?) will receive the compensation described in this Amended and Resta |
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| June 24, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (MARK ONE) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to COMMISSION FILE NUMBER 001-37487 |
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| June 24, 2021 |
Aethlon Medical Announces Fiscal Year End Financial Results and Provides Corporate Update Exhibit 99.1 Aethlon Medical Announces Fiscal Year End Financial Results and Provides Corporate Update SAN DIEGO, CA, June 24, 2021 - Aethlon Medical, Inc. (Nasdaq: AEMD), a medical technology company focused on developing products to diagnose and treat life and organ threatening diseases, today reported financial results for its fiscal year ended March 31, 2021 and provided an update on recent de |
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| June 15, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Aethlon Medical, Inc. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 00808Y307 (CUSIP Number) June 10, 2021 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuant to which this Sc |
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| June 11, 2021 |
Exhibit 99.2 June 10, 2021 James B. Frakes Chief Financial Officer Aethlon Medical, Inc. 9635 Granite Ridge Drive, Suite 100 San Diego, CA 92123 Dear Mr. Frakes, This letter (the ?Agreement?) constitutes the agreement between Aethlon Medical, Inc. (the ?Company?) and Maxim Group, LLC (?Maxim? or the ?Lead Manager?), that Maxim shall serve as the exclusive lead placement agent for the Company, on a |
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| June 11, 2021 |
Exhibit 99.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this ?Agreement?) is dated as of June 10, 2021, between Aethlon Medical, Inc., a Nevada corporation (the ?Company?), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a ?Purchaser? and collectively the ?Purchasers?). WHEREAS, subject to the terms and conditions set |
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| June 11, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 10, 2021 AETHLON MEDICAL, INC. (Exact name of Registrant as Specified in Its Charter) Nevada 001-37487 13-3632859 (State or Other Jurisdiction of Incorporation) (Commission File |
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| June 11, 2021 |
Aethlon Medical, Inc. 1,380,555 shares of Common Stock Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-237269 PROSPECTUS SUPPLEMENT (To Prospectus dated March 30, 2020) Aethlon Medical, Inc. 1,380,555 shares of Common Stock Aethlon Medical, Inc. is offering 1,380,555 shares of our common stock pursuant to this prospectus supplement and accompanying prospectus to certain institutional investors. The last reported sale price of o |
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| June 11, 2021 |
Exhibit 99.3 Aethlon Medical Announces $12.425 Million Registered Direct Offering Priced At-the-Market Under Nasdaq Rules SAN DIEGO, June 10, 2021 /PRNewswire/ - Aethlon Medical, Inc. (Nasdaq:AEMD), a medical device technology company focused on unmet needs in global health, today announced that it has entered into a definitive agreement with a single institutional investor for the purchase in a r |
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| March 22, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 22, 2021 AETHLON MEDICAL, INC. (Exact name of Registrant as Specified in Its Charter) Nevada 333-237269 13-3632859 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| March 22, 2021 |
EX-1.1 2 aethlonex0101.htm AT THE MARKET OFFERING AGREEMENT, MARCH 22, 2021, BY AND BETWEEN AETHLON MEDICAL, INC. AND H.C. WAINWRIGHT & CO., LLC. Exhibit 1.1 AT THE MARKET OFFERING AGREEMENT March 22, 2021 H.C. Wainwright & Co., LLC 430 Park Avenue New York, New York 10022 Ladies and Gentlemen: Aethlon Medical, Inc., a corporation organized under the laws of Nevada (the “Company”), confirms its ag |
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| March 22, 2021 |
Filed Pursuant to Rule 424(b)(5) Registration No. 333-237269 PROSPECTUS SUPPLEMENT (To Prospectus Dated March 30, 2020) $5,080,000 Common Stock This prospectus supplement relates to the offer, issuance and sale from time to time of common stock having an aggregate offering price of up to $5,080,000 through H.C. Wainwright & Co., LLC, or Wainwright, as sales agent. These sales, if any, will be made |
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| February 22, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2. (Amendment No. 2)* AETHLON MEDICAL, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 00808Y307 (CUSIP Number) December 31, 2020 |
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| February 10, 2021 |
Aethlon Medical Announces Third Quarter Financial Results and Provides Corporate Update Exhibit 99.1 Aethlon Medical Announces Third Quarter Financial Results and Provides Corporate Update SAN DIEGO, CA, February 10, 2021 - Aethlon Medical, Inc. (Nasdaq: AEMD), a medical device therapeutic company focused on developing products to diagnose and treat life and organ threatening diseases, today reported financial results for its third quarter ended December 31, 2020 and provided an upda |
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| February 10, 2021 |
Exhibit 10.4 eighth AMENDMENT TO STANDARD INDUSTRIAL NET lease BETWEEN SAN DIEGO INSPIRE 1, LLC AND AETHLON MEDICAL, INC. THIS EIGHTH AMENDMENT TO STANDARD INDUSTRIAL NET LEASE (this “Eighth Amendment”) is dated as of November 9, 2020, by and between SAN DIEGO INSPIRE 1, LLC, a Delaware limited liability company (“Landlord”), and AETHLON MEDICAL, INC., a Nevada corporation (“Tenant”). RECITALS A. |
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| February 10, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 10, 2021 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction (Commission File Number) (IRS E |
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| February 10, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to COMMISSION FILE NUMBER |
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| February 10, 2021 |
Executive Employment Agreement between the Company and Guy Cipriani, dated January 1, 2021. Exhibit 10.5 AETHLON MEDICAL, INC. EXECUTIVE EMPLOYMENT AGREEMENT for GUY F. CIPRIANI This Executive Employment Agreement (this “Agreement”) is made and entered into as of January 1, 2020 (the “Effective Date”), by and between Guy F. Cipriani (“Employee”) and Aethlon Medical, Inc. (the “Company”). 1. Employment by the Company. 1.1 Start Date and Position. Employee’s employment with the Company sha |
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| February 10, 2021 |
Exhibit 10.3 LEASE SOVA CENTRAL SCIENCE DISTRICT SAN DIEGO INSPIRE 1, LLC, a Delaware limited liability company and SAN DIEGO INSPIRE 2, LLC, a Delaware limited liability company collectively, as Landlord, and AETHLON MEDICAL, INC., a Nevada corporation, as Tenant. TABLE OF CONTENTS Page 1. PREMISES, BUILDING, PROJECT, AND COMMON AREAS 6 2. LEASE TERM; OPTION TERM 8 3. BASE RENT 10 4. ADDITIONAL R |
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| February 10, 2021 |
Executive Employment Agreement between the Company and Steven P. LaRosa, MD, dated January 4, 2021. Exhibit 10.6 AETHLON MEDICAL, INC. EXECUTIVE EMPLOYMENT AGREEMENT for STEVEN P. LAROSA, MD This Executive Employment Agreement (this “Agreement”) is made and entered into as of January 4, 2021 (the “Effective Date”), by and between Steven P. LaRosa, MD (“Employee”) and Aethlon Medical, Inc. (the “Company”). 1. Employment by the Company. 1.1 Start Date and Position. Employee’s employment with the C |
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| January 29, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Aethlon Medical, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 00808Y307 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the r |
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| January 13, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Aethlon Medical, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 00808Y307 (CUSIP Number) December 31, 2020 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuant to which th |
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| January 11, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 11, 2021 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction (Commission File Number) (IRS Em |
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| January 11, 2021 |
Exhibit 99.1 1 NASDAQ: AEMD Investor Presentation January 2021 2 This investor presentation contains forward - looking statements as that term is defined in the Private Securities Litigation Reform Act of 1995, including, without limitation: the ability to enroll patients in the Early Feasibility Studies; the ability to successfully complete the Early Feasibility Studies and achieve the endpoints |
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| December 10, 2020 |
Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 7, 2020 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction (Commission File Number) (IRS Em |
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| November 3, 2020 |
Separation Agreement between the Company and Dr. Rodell, dated October 30, 2020. Exhibit 10.1 October 29, 2020 Via Email Dr. Timothy C. Rodell, M.D., FCCP Chief Executive Officer Re: Separation Agreement Dear Tim: This letter sets forth the substance of our agreement (the “Agreement”) regarding your transition and separation from Aethlon Medical, Inc. (the “Company”). This Agreement will become effective only upon the Effective Date specified in Section 9 below. 1. Separation. |
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| November 3, 2020 |
Letter dated November 3, 2020 from Squar Milner LLP. Exhibit 16.1 November 3, 2020 Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Dear Ladies and Gentleman: We are the former independent registered public accounting firm for Aethlon Medical, Inc. (the “Company”). We have read the Company’s disclosure set forth in Item 4.01 “Changes in Registrant’s Certifying Accountant” of the Company’s Current Report on Form 8-K dated Nove |
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| November 3, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 30, 2020 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction (Commission File Number) (IRS Em |
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| November 3, 2020 |
Employment Agreement between the Company and Dr. Fisher, dated October 30, 2020. Exhibit 10.2 AETHLON MEDICAL, INC. EXECUTIVE EMPLOYMENT AGREEMENT for Charles J. Fisher, Jr., M.D. This Executive Employment Agreement is made and entered into effective as of October 30, 2020 (“Effective Date”), by and between Charles J. Fisher, Jr., M.D. (“Executive”) and Aethlon Medical, Inc. (“Company”). WHEREAS, the Company and Executive desire to enter into this Employment Agreement (this “A |
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| October 28, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to COMMISSION FILE NUMBE |
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| October 28, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 28, 2020 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction (Commission File Number) (IRS Em |
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| October 28, 2020 |
Aethlon Medical Announces Second Quarter Financial Results and Provides Corporate Update Exhibit 99.1 Aethlon Medical Announces Second Quarter Financial Results and Provides Corporate Update SAN DIEGO, CA, October 28, 2020 - Aethlon Medical, Inc. (Nasdaq: AEMD), a medical device technology company focused on developing products to diagnose and treat life and organ threatening diseases, today reported financial results for its second quarter ended September 30, 2020 and provided an upd |
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| September 15, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 15, 2020 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction (Commission File Number) (IRS |
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| September 15, 2020 |
As filed with the Securities and Exchange Commission on September 15, 2020 Registration No. |
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| September 15, 2020 |
Exhibit 10.1 Aethlon Medical, Inc. 2020 Equity Incentive Plan Adopted by the Board of Directors: February 6, 2020 Approved by the Stockholders: September 15, 2020 Table of Contents Page 1. General 1 2. Shares Subject to the Plan 1 3. Eligibility and Limitations 2 4. Options and Stock Appreciation Rights 3 5. Awards Other Than Options and Stock Appreciation Rights 7 6. Adjustments upon Changes in C |
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| August 11, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to COMMISSION FILE NUMBER 001 |
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| August 11, 2020 |
Exhibit 10.1 AMENDMENT NO. 2 TO COMMON STOCK SALES AGREEMENT March 30, 2020 H.C. Wainwright & Co., LLC 430 Park Avenue New York, NY 10022 Ladies and Gentlemen: Aethlon Medical, Inc. (the “Company”) and H.C. Wainwright & Co., LLC (“HCW”) are parties to that certain Common Stock Sales Agreement dated June 28, 2016, as amended on August 5, 2019 (the “Amended Original Agreement”). All capitalized term |
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| August 11, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 11, 2020 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction (Commission File Number) (IRS Emp |
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| August 11, 2020 |
Aethlon Medical Announces First Quarter Financial Results and Provides Corporate Update Exhibit 99.1 Aethlon Medical Announces First Quarter Financial Results and Provides Corporate Update SAN DIEGO, CA, August 11, 2020 - Aethlon Medical, Inc. (Nasdaq: AEMD), a medical device technology company focused on developing products to diagnose and treat life and organ threatening diseases, today reported financial results for its first quarter ended June 30, 2020 and provided an update on r |
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| August 11, 2020 |
Aethlon Medical, Inc. Amended and Restated Non-Employee Directors Compensation Policy. ++ Exhibit 10.2 Aethlon Medical, Inc. Amended and Restated Non-Employee Director Compensation Policy July 16, 2020 Each member of the Board of Directors (the “Board”) who is not also serving as an employee of or consultant to Aethlon Medical, Inc. (the “Company”) or any of its subsidiaries (each such member, an “Eligible Director”) will receive the compensation described in this Amended and Restated |
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| July 28, 2020 |
SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☒ Definitive Additional Materials ☐ Soliciting Material Pursuant to § 240. |
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| July 28, 2020 |
DEF 14A 1 aethlondef14a.htm DEFINITIVE PROXY STATEMENT SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive |
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| June 25, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 25, 2020 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction (Commission File Number) (IRS Emplo |
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| June 25, 2020 |
Description of Aethlon Medical, Inc.’s Securities. Exhibit 4.16 DESCRIPTION OF COMMON STOCK The following description summarizes the most important terms of our common stock. Because it is only a summary, it does not contain all the information that may be important to you. For a complete description of the matters set forth in this “Description of Common Stock,” you should refer to our articles of incorporation, as amended, or the articles of inc |
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| June 25, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (MARK ONE) [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2020 OR [] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to COMMISSION FILE NUMBER 001-374 |
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| June 25, 2020 |
Aethlon Medical Announces Fiscal Year Financial Results and Provides Corporate Update EX-99.1 2 aethlonex9901.htm PRESS RELEASE Exhibit 99.1 Aethlon Medical Announces Fiscal Year Financial Results and Provides Corporate Update SAN DIEGO, CA, June 25, 2020 - Aethlon Medical, Inc. (Nasdaq: AEMD), a medical device technology company focused on developing products to diagnose and treat life and organ threatening diseases, today reported financial results for its fiscal year ended March |
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| March 30, 2020 |
Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-237269 PROSPECTUS $7,495,000 Common Stock This prospectus relates to the offer, issuance and sale from time to time of common stock having an aggregate offering price of up to $7,495,000 through H.C. Wainwright & Co., LLC, or Wainwright, as sales agent. These sales, if any, will be made pursuant to the terms of a common stock |
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| March 26, 2020 |
Aethlon Medical, Inc. 9635 Granite Ridge Drive, Suite 100 San Diego, California 92123 March 26, 2020 Via Edgar United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Irene Paik Re: Aethlon Medical, Inc. (the “Company”) Registration Statement on Form S-3 (File No. 333-237269) Acceleration Request Requested Date: March 30, 202 |
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| March 23, 2020 |
EX-10.1 2 aethlonex1001.htm AMENDED AND RESTATED EXECUTIVE EMPLOYMENT AGREEMENT Exhibit 10.1 AETHLON MEDICAL, INC. AMENDED AND RESTATED EXECUTIVE EMPLOYMENT AGREEMENT for Timothy C. Rodell, M.D., FCCP This Amended and Restated Executive Employment Agreement is made and entered into as of March 17, 2020 (the “Effective Date”), by and between Timothy C. Rodell (“Employee”) and Aethlon Medical, Inc. |
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| March 23, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 17, 2020 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction (Commission File Number) (IRS Empl |
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| March 19, 2020 |
Form of Common Stock Warrant Agreement and Warrant Certificate. Exhibit 4.7 Aethlon Medical, Inc. and , As Warrant Agent Form of Common Stock Warrant Agreement Dated As Of Aethlon Medical, Inc. Form of Common Stock Warrant Agreement This Common Stock Warrant Agreement (this “Agreement”), dated as of [●], between Aethlon Medical, Inc., a Nevada corporation (the “Company”), and [●], a [corporation] [national banking association] organized and existing under the |
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| March 19, 2020 |
AEMD / Aethlon Medical, Inc. S-3 - - FORM S-3 REGISTRATION STATEMENT Table of Contents As filed with the Securities and Exchange Commission on March 19, 2020 Registration No. |
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| March 19, 2020 |
Form of Debt Securities Warrant Agreement and Warrant Certificate. Exhibit 4.6 Aethlon Medical, Inc. and , As Warrant Agent Form of Debt Securities Warrant Agreement Dated As Of Aethlon Medical Inc. Form of Debt Securities Warrant Agreement This Debt Securities Warrant Agreement (this “Agreement”), dated as of [●], between Aethlon Medical, Inc., a Nevada corporation (the “Company”), and [●], a [corporation] [national banking association] organized and existing un |
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| March 19, 2020 |
Form of Indenture between the Registrant and one or more trustees to be named. Exhibit 4.2 Aethlon Medical, Inc., Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of [·], 20 Debt Securities Table Of Contents Page article 1 DEFINITIONS 6 Section 1.01 Definitions of Terms 6 article 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 10 Section 2.01 Designation and Terms of Securities 10 Section 2.02 Form of Securities and Trustee’s Certificate 12 Se |
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| February 21, 2020 |
8-K 1 aethlon8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 14, 2020 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction (C |
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| February 14, 2020 |
AEMD / Aethlon Medical, Inc. / Iroquois Capital Management, LLC Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2. (Amendment No. 1)* AETHLON MEDICAL, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 00808Y307 (CUSIP Number) December 31, 2019 |
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| February 11, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Aethlon Medical, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 00808Y307 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the r |
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| February 10, 2020 |
Aethlon Medical Announces Third Quarter Financial Results and Provides Corporate Update EX-99.1 3 aethlonex9901.htm PRESS RELEASE Exhibit 99.1 Aethlon Medical Announces Third Quarter Financial Results and Provides Corporate Update SAN DIEGO, CA, February 10, 2020 - Aethlon Medical, Inc. (Nasdaq: AEMD), a medical device technology company focused on developing products to diagnose and treat life and organ threatening diseases, today reported financial results for its third quarter end |
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| February 10, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to COMMISSION FILE NUMBER |
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| February 10, 2020 |
Code of Business Conduct and Ethics. Exhibit 14.1 CODE OF BUSINESS CONDUCT AND ETHICS (As approved by the Aethlon Medical, Inc Board of Directors on February 6, 2020) THIS CODE APPLIES TO EVERY DIRECTOR, OFFICER (INCLUDING THE CHIEF EXECUTIVE OFFICER, PRESIDENT AND CHIEF FINANCIAL OFFICER), AND EMPLOYEE OF AETHLON MEDICAL, INC. (THE “COMPANY”). To further the Company’s fundamental principles of honesty, loyalty, fairness and forthrig |
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| February 10, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 6, 2020 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction (Commission File Number) (IRS Em |
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| January 27, 2020 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Aethlon Medical, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 00808Y307 (CUSIP Number) December 31, 2019 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuant to which th |
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| January 27, 2020 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Aethlon Medical, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 00808Y307 (CUSIP Number) January 17, 2020 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuant to which this |
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| January 24, 2020 |
AEMD / Aethlon Medical, Inc. / ARMISTICE CAPITAL, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| January 22, 2020 |
Unregistered Sales of Equity Securities UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 22, 2020 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction (Commission File Number) (IRS Em |
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| January 17, 2020 |
Aethlon Medical, Inc. 1,885,378 shares of Common Stock Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-231397 PROSPECTUS SUPPLEMENT (To Prospectus dated August 1, 2019) Aethlon Medical, Inc. 1,885,378 shares of Common Stock Aethlon Medical, Inc. is offering 1,885,378 shares of our common stock pursuant to this prospectus supplement and accompanying prospectus to certain institutional investors. In a concurrent private placement |
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| January 17, 2020 |
Form of Common Stock Purchase Warrant. Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| January 17, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events 8-K 1 aethlon8k.htm FORRM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 17, 2020 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction (C |
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| January 17, 2020 |
Exhibit 99.1 Aethlon Medical Announces $3.77 Million Registered Direct Offering Priced At-the-Market Under Nasdaq Rules SAN DIEGO, January 17, 2020 /PRNewswire/ - Aethlon Medical, Inc. (Nasdaq:AEMD) (the "Company"), a medical device technology company focused on developing products to diagnose and treat life and organ threatening diseases, today announced that it has entered into definitive agreem |
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| January 17, 2020 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of January 17, 2020, between Aethlon Medical, Inc., a Nevada corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and conditions s |
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| December 26, 2019 |
AEMD / Aethlon Medical, Inc. / INTRACOASTAL CAPITAL, LLC - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Aethlon Medical, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 00808Y307 (CUSIP Number) December 17, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the ru |
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| December 23, 2019 |
AEMD / Aethlon Medical, Inc. / Iroquois Capital Management, LLC Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2. (Amendment No. )* AETHLON MEDICAL, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 00808Y307 (CUSIP Number) December 13, 2019 ( |
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| December 20, 2019 |
AEMD / Aethlon Medical, Inc. / ARMISTICE CAPITAL, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| December 19, 2019 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Aethlon Medical, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 00808Y307 (CUSIP Number) December 13, 2019 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuant to which thi |
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| December 19, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 13, 2019 Aethlon Medical, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37487 13-3632859 (State or other jurisdiction (Commission File Number) (IRS E |
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| December 16, 2019 |
Table of Contents Filed Pursuant to Rule 424(b)(4) Registration No. 333-234712 PROSPECTUS 1,793,333 Shares of Common Stock Pre-Funded Warrants to Purchase 1,540,001 Shares of Common Stock Warrants to Purchase up to 3,333,334 Shares of Common Stock We are offering 1,793,333 shares of our common stock and accompanying common warrants to purchase an equal number of shares of our common stock (and the |
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| December 11, 2019 |
Exhibit 4.13 PREFUNDED COMMON STOCK PURCHASE WARRANT AETHLON MEDICAL, INC. Warrant Shares: Initial Issue Date: , 2019 THIS PREFUNDED COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof (t |
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| December 11, 2019 |
AEMD / Aethlon Medical, Inc. CORRESP - - December 11, 2019 VIA FACSIMILE AND EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Washington, D.C. 20549 Re: AETHLON MEDICAL, INC. Registration Statement on Form S-1 (Registration No. 333-234712) Concurrence in Acceleration Request Ladies and Gentlemen: H.C. Wainwright & Co., LLC (“Wainwright”), as managing underwriter for the above-referenced offering, hereby concu |
