Welcome to our dedicated page for Aethlon Medical SEC filings (Ticker: AEMD), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
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Aethlon Medical filed its quarterly report and detailed a smaller loss alongside a tight cash position and a going concern warning. The company reported a net loss of
A registered direct offering closed in early September generated net proceeds of
Operationally, the phase 1 oncology trial in Australia treated three participants in Cohort 1; the DSMB raised no safety concerns and Cohort 2 enrollment is open. The quarter included an Australian R&D tax incentive of about
Aethlon Medical, Inc. furnished an 8-K announcing it issued a press release with financial results for the quarter ended September 30, 2025. The press release is included as Exhibit 99.1 and is incorporated by reference into Item 2.02.
The company states the information under Item 7.01 (Regulation FD), including Exhibit 99.1, is being furnished and not deemed filed under the Exchange Act, and will not be incorporated into other filings except by specific reference.
Aethlon Medical (AEMD) announced it has regained compliance with Nasdaq’s minimum bid price requirement for continued listing on the Nasdaq Capital Market. Nasdaq confirmed on November 5 that the matter is closed.
The company had received a notice on October 16 that its common stock had closed below the $1.00 minimum for 30 consecutive business days. Regaining compliance required maintaining a closing bid of at least $1.00 per share for ten consecutive business days, which the company achieved.
This update removes the immediate listing deficiency and keeps AEMD’s shares trading on Nasdaq, preserving market visibility and liquidity associated with that venue.
Aethlon Medical reported it is not in compliance with Nasdaq’s minimum bid price rule after its common stock closed below $1.00 for 30 consecutive business days. The company received the notice on October 16, 2025 and has requested a hearing before a Nasdaq Hearings Panel, which stays any suspension or delisting action while the panel reviews the case. The stock will continue trading on the Nasdaq Capital Market under the symbol AEMD during this process.
As part of its plan to regain compliance, Aethlon implemented a 1‑for‑10 reverse stock split effective October 16, 2025, with split-adjusted trading beginning on October 20, 2025. The company is monitoring its closing bid price and may evaluate additional actions to maintain its listing on the Nasdaq Capital Market.
Aethlon Medical (AEMD) implemented a 1-for-10 reverse stock split, effective at 10:00 a.m. Eastern on
The move is part of the company’s capital‑markets plan, including continued compliance with Nasdaq Listing Rule 5550(a)(2). Authorized common shares will change from 60,000,000 to 6,000,000. Common shares outstanding were 7,612,106 as of
No stockholder approval was required under Nevada law (NRS 78.207/78.209). Computershare is the transfer and exchange agent. Percentage ownership and voting power remain substantially unchanged aside from rounding.
Chetan Shah, a director of Aethlon Medical, Inc. (AEMD), reported a transaction on 09/30/2025 in which 1,786 shares of common stock were forfeited to cover tax withholdings arising from the conversion of 4,465 vested restricted stock units into common shares. The filing shows a per-share price used for the withholding calculation of $0.749. After the withholding, the reporting person beneficially owned 22,672 shares of common stock. The restricted stock units forfeited were part of a grant previously reported by the reporting person in an earlier Form 4 filed in April 2025.
Edward G. Broenniman, a director of Aethlon Medical, Inc. (AEMD), reported a change in beneficial ownership on 09/30/2025. He disposed of 893 shares of common stock at an implied price of $0.749 per share as shown on the Form 4, leaving him with 25,397 shares beneficially owned. The filing explains the 893 shares were forfeited to satisfy tax withholding when 4,465 vested restricted stock units were converted into shares; those RSUs were part of a grant previously reported on April 25, 2025. The Form 4 was signed on behalf of Mr. Broenniman by an attorney-in-fact on 10/02/2025.
Aethlon Medical, Inc. Schedule 13G discloses that Alumni Capital LP, together with its GP and controlling person Ashkan Mapar, beneficially owns 781,110 shares of Aethlon common stock, representing 9.58% of the class on a calculated basis. The reported position includes 225,555 shares currently owned and rights to acquire additional shares through a pre-funded warrant and Common Warrants entered into on September 4, 2025. The filing explains a Warrant Ownership Limitation that currently caps acquisitions at 4.99% but may be increased to 9.99% with notice or consent; the percentage reported assumes the limitation is treated as increased to 9.99%. The Reporting Persons certify the holdings are not for control purposes and file jointly. The report is signed by Ashkan Mapar on behalf of the Reporting Persons.
Aethlon Medical, Inc. reporting persons Mitchell P. Kopin, Daniel B. Asher and Intracoastal Capital LLC filed a Schedule 13G disclosing potential and actual beneficial ownership related to a September 4, 2025 Securities Purchase Agreement. The filing explains that, before blocker provisions are applied, each reporting person could have been deemed to beneficially own 1,111,110 shares. As of the close of business on September 10, 2025, each reporting person is reported as beneficially owning 576,603 shares, representing approximately 7.7% of the common stock. The ownership includes 21,048 shares held by Intracoastal and 555,555 shares issuable upon exercise of a warrant, and the filing describes blocker provisions limiting exercise to prevent ownership above 9.99%.
Aethlon Medical, Inc. (AEMD) filed a Form 8-K reporting a material event dated September 4, 2025 that primarily attaches transaction documents and a press release. The filing includes forms of a Common Warrant, Pre-Funded Warrant, and a Placement Agent Warrant, a Warrant Agency Agreement with Computershare, a Securities Purchase Agreement with investors, a Placement Agency Agreement with Maxim Group, LLC, and a Press Release dated the same day.
The exhibits indicate the company executed a financing-related transaction structure involving warrants and a placement agent; the warrant agency relationship was documented with Computershare. The filing text is an exhibits list and does not disclose pricing, proceeds, or specific investor identities within the provided content.
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