Aethlon Medical Engages Maxim Group LLC to Evaluate Strategic Opportunities

Aethlon Medical (Nasdaq: AEMD) has engaged Maxim Group LLC as exclusive financial advisor to evaluate strategic opportunities including partnerships, mergers, acquisitions or other transactions.

Rhea-AI Summary

Aethlon Medical (Nasdaq: AEMD) has engaged Maxim Group LLC as exclusive financial advisor to evaluate strategic opportunities including partnerships, mergers, acquisitions or other transactions.

The company completed the second cohort of its Australian oncology trial and will submit safety data to the independent Data Safety Monitoring Board. No timeline or assurance of a transaction has been established.

Positive

• Engaged Maxim as exclusive financial advisor to evaluate strategic transactions
• Completed second cohort of Australian oncology trial; safety data being submitted

Negative

• No definitive timeline for the strategic evaluation
• Company provides no assurance that any transaction will result

Argus Mar 12 session

+4.81% close to close Open Argus

Details

News Market Reaction – AEMD

On Mar 12, the day this news came out, AEMD closed 4.81% above the previous close.

Data tracked by StockTitan Argus for the Mar 12 session.

Market Context

This announcement signals that Aethlon’s board is formally evaluating partnerships, mergers, acquisi...

Analysis

This announcement signals that Aethlon’s board is formally evaluating partnerships, mergers, acquisitions, or other strategic paths while continuing development of its Hemopurifier, including completion of the second cohort in an Australian oncology trial with safety data headed to a Data Safety Monitoring Board. In recent quarters, the company has raised equity, expanded authorized shares to 100,000,000, and managed operating losses. Investors may watch for concrete deal proposals, further clinical readouts, and additional financing steps as key next milestones.

Key Figures

Australian oncology trial: Second cohort completed

Australian oncology trial

Second cohort completed

Safety data from Cohort 2 to be reviewed by DSMB

Historical Context

5 past events · Latest: Feb 23

5 events

1. Feb 23

   Conference presentation

   24h Move

   -1.5%

   Company announced participation in Emerging Growth Conference with CEO fireside chat.

2. Feb 12

   Earnings and update

   24h Move

   -1.0%

   Fiscal Q3 2026 results with ~$7.0M cash and lower nine‑month operating expenses.

3. Feb 04

   Earnings date notice

   24h Move

   -3.9%

   Set date and time for fiscal Q3 results release and conference call.

4. Dec 05

   Private placement

   24h Move

   -8.2%

   Announced $3.3M at‑the‑market private placement and warrant inducement led by Maxim.

5. Dec 02

   Preclinical data

   24h Move

   +14.9%

   Preclinical Long COVID data showed Hemopurifier GNA resin binds EVs and lowers inflammatory microRNAs.

24h Move is the share-price change in the day after each event; other market factors may also have contributed.

Key Terms

data safety monitoring board, oncology trial, strategic alternatives

3 terms

data safety monitoring board medical

"Safety data from that cohort will be submitted to the independent Data Safety Monitoring Board"

A data safety monitoring board is a group of experts who regularly review information from a research or testing process to ensure it is safe and ethical. Think of them as watchdogs that watch over ongoing projects to protect participants and ensure everything is proceeding correctly. Their oversight helps maintain trust and safety, which is important for investors who want to see responsible management and reliable results.

oncology trial medical

"having completed the second cohort of our Australian oncology trial"

An oncology trial is a clinical study that tests a new cancer treatment, diagnostic tool or therapy in people to see if it is safe and effective. Investors pay attention because trial results determine whether a potential treatment can reach patients and generate sales or fail — like testing a new recipe on a few diners before deciding to open a restaurant widely, early positive or negative outcomes can sharply change a company’s future value and risk profile.

strategic alternatives financial

"we are evaluating strategic alternatives with the assistance of Maxim"

Strategic alternatives are different options a company considers to improve its value or achieve its goals, such as selling the business, merging with another company, or restructuring operations. For investors, understanding these options is important because they can significantly impact the company's future direction and its stock value, often signaling potential changes or opportunities.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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SAN DIEGO, March 12, 2026 /PRNewswire/ -- Aethlon Medical, Inc. ("Aethlon" or the "Company") (Nasdaq: AEMD), a medical therapeutic company focused on developing products to treat cancer and life-threatening infectious diseases, today announced that it is evaluating a range of strategic opportunities and has engaged Maxim Group LLC ("Maxim") to act as the Company's exclusive financial advisor in connection with this process.

The Company engaged Maxim following preliminary inbound interest regarding potential strategic opportunities. Maxim will assist the Company in reviewing a range of potential transactions, including partnerships, mergers, acquisitions or other opportunities involving the Company.

James Frakes, Chief Executive Officer and Chief Financial Officer of Aethlon stated, "The Company continues to execute its development activities, having completed the second cohort of our Australian oncology trial. Safety data from that cohort will be submitted to the independent Data Safety Monitoring Board for review. At the same time, we are evaluating strategic alternatives with the assistance of Maxim as part of our ongoing efforts to assess opportunities available to the Company and its shareholders."

The Company has not established a definitive timeline for this evaluation and can provide no assurance that any transaction will result from this process. The Company will pursue only those opportunities that the Board believes are appropriate for the Company and its shareholders.

About Maxim Group LLC

Founded in 2002, Maxim Group is a leading full-service investment bank, securities and wealth management firm headquartered in Midtown Manhattan providing a comprehensive array of financial services including investment banking, global institutional sales, equity research, fixed income and derivative sales & trading, merchant capital, private wealth management, and prime brokerage services to a diverse range of corporate clients, institutional investors and high-net-worth individuals. Maxim Group is a registered broker-dealer with the U.S. Securities and Exchange Commission and the Municipal Securities Rulemaking Board (MSRB). To learn more about Maxim Group, visit www.maximgrp.com.

About Aethlon Medical, Inc.

Aethlon Medical, Inc. (Nasdaq: AEMD) is a clinical-stage medical device company headquartered in San Diego, California. Aethlon is advancing the Hemopurifier, to address unmet needs in oncology and infectious disease, using a novel platform designed to selectively remove circulation pathogenic targets from biologic fluids.

For more information, visit www.AethlonMedical.com and follow the Company on LinkedIn.

Forward-Looking Statements

This press release contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934 that involve risks and uncertainties. Statements containing words such as "may," "believe," "anticipate," "expect," "intend," "plan," "project," "will," "projections," "estimate," "potentially" or similar expressions constitute forward-looking statements. Forward-looking statements in this release include, without limitation, statements regarding the Company's engagement of Maxim Group LLC, the exploration or identification of potential strategic merger and acquisition alternatives, the possibility, timing or structure of any transaction, and the potential benefits of any such transaction. Such forward-looking statements are subject to significant risks and uncertainties, and actual results may differ materially from the results anticipated in the forward-looking statements. There can be no assurance that the Company's engagement of a financial advisor will result in the identification or consummation of any transaction. The Company may determine to suspend or terminate the exploration of strategic alternatives at any time, and no timetable has been set for completion of this process. Risks and uncertainties that could cause actual results to differ materially from those expressed or implied by these forward-looking statements include, without limitation: the Company's ability to identify suitable transaction partners; the risk that any discussions with third parties do not result in a definitive agreement; the risk that a transaction, if agreed upon, is not consummated; potential disruption to the Company's business as a result of the announcement or pendency of a strategic review process; the diversion of management's time and attention; the Company's ability to maintain compliance with Nasdaq listing standards; the Company's ability to raise additional capital; and other risks and uncertainties described under the caption "Risk Factors" in the Company's Annual Report on Form 10-K for the year ended March 31, 2025, and in its other filings with the Securities and Exchange Commission. All forward-looking statements contained in this press release speak only as of the date on which they were made. Except as may be required by law, the Company does not intend, nor does it undertake any duty, to update this information to reflect future events or circumstances or disclose developments.

This press release does not constitute an offer to sell or the solicitation of an offer to buy any securities, nor shall it constitute an offer, solicitation or sale in any jurisdiction in which such offer, solicitation or sale would be unlawful. Any securities that may be offered in connection with a potential transaction would be offered only pursuant to an effective registration statement or in reliance upon an applicable exemption from registration requirements.

Company Contacts:
Jim Frakes
Chief Executive Officer and Chief Financial Officer
Aethlon Medical, Inc.
Jfrakes@aethlonmedical.com

Investor Contact:
Susan Noonan
S.A. Noonan Communications, LLC
susan@sanoonan.com

View original content:https://www.prnewswire.com/news-releases/aethlon-medical-engages-maxim-group-llc-to-evaluate-strategic-opportunities-302711837.html

SOURCE Aethlon Medical, Inc.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

Why did Aethlon Medical (AEMD) hire Maxim Group LLC on March 12, 2026?

They hired Maxim to act as exclusive financial advisor to review potential transactions. According to the company, Maxim will assist in evaluating partnerships, mergers, acquisitions and other strategic opportunities following inbound interest.

What strategic options is Aethlon Medical (AEMD) evaluating with Maxim?

Aethlon is reviewing a range of potential transactions including partnerships, mergers and acquisitions. According to the company, the review follows preliminary inbound interest and aims to assess opportunities available to shareholders.

Has Aethlon Medical (AEMD) set a timeline for the Maxim-led strategic review?

No definitive timeline has been established for the evaluation. According to the company, it can provide no assurance that any transaction will result from the process.

What recent clinical milestone did Aethlon Medical (AEMD) report on March 12, 2026?

Aethlon completed the second cohort of its Australian oncology trial and will submit safety data for review. According to the company, the data go to the independent Data Safety Monitoring Board.

How might the Maxim engagement affect Aethlon Medical (AEMD) shareholders?

The engagement initiates a formal review of strategic options that could affect shareholder value. According to the company, the Board will pursue only opportunities it deems appropriate for shareholders.