Aethlon Medical, Inc. filings document the regulatory record of a Nevada clinical-stage medical device company developing the investigational Aethlon Hemopurifier. Form 8-K reports cover quarterly financial results furnished under Regulation FD, material agreements tied to securities purchase arrangements, warrant-related capital-structure updates, and approved changes to the company's equity incentive plan.
Proxy materials cover annual-meeting and stockholder voting matters, including governance and compensation-plan proposals. Registration statements describe securities offered for sale, share-capital terms and related offering mechanics for the company's common stock and other securities.
Aethlon Medical Inc. Chief Medical Officer Steven P. Larosa acquired 42,000 restricted stock units (RSUs) on October 8, 2026, under the company's 2020 Equity Incentive Plan, as amended. Each RSU is a contingent right to receive one common share upon settlement. The units vest over the one-year period following October 8, 2026, subject to continued service through applicable vesting dates, and will become fully vested upon closing of Aethlon Medical's proposed merger with North Immunology, Inc. Larosa's reported direct holdings following the grant were 42,057 shares.
Aethlon Medical Inc. (AEMD) director Chetan Shah forfeited 436 shares on September 30, 2026, to cover tax withholdings when 1,091 vested and outstanding restricted stock units converted into common stock. The reported market price was $6.52 per share. A footnote corrects the post-transaction beneficial-ownership figure to 23,278 shares to address a typographical error.
Aethlon Medical (AEMD) director Angela Rossetti received a grant of 21,815 RSUs on April 17, 2026; the transaction reports $2.29 per share. The RSUs vest in four equal quarterly installments on June 30, 2026, September 30, 2026, December 31, 2026, and March 31, 2027, subject to continued service on each date. The amendment corrects her post-transaction beneficially owned share count to 24,222 shares, rather than the 26,207 shares previously shown, to account for Aethlon Medical’s recent reverse stock split.
Nicolas Gikakis, a director of Aethlon Medical (AEMD), forfeited 436 shares of common stock on September 30, 2026, to cover tax withholdings when 1,091 vested restricted stock units converted into shares. The shares were valued at $6.52 per share, the market price at forfeiture. A footnote corrects his beneficial ownership after the transaction to 23,279 shares.
Aethlon Medical Inc. (AEMD) director Edward G. Broenniman forfeited 218 common shares on September 30, 2026, at $6.52 per share to cover tax withholdings when 1,091 vested restricted stock units converted into shares. The transaction row reports 4,313 directly held shares afterward; a footnote says beneficial ownership following the transaction should be 23,730 shares, correcting an earlier typographical error. No Rule 10b5-1 plan is reported.
Aethlon Medical Inc. (AEMD) director and CFO/CEO James B. Frakes received 42,000 restricted stock units (RSUs) under the company's 2020 Equity Incentive Plan. The RSUs vest over the one-year period following October 8, 2026, subject to continued service, and become fully vested upon closing of the proposed merger with North Immunology, Inc. Each RSU represents a contingent right to receive one common share upon settlement. His reported direct holdings following the grant were 42,063 shares.
Aethlon Medical Inc (AEMD) is the issuer in a Schedule 13G reporting Jane Street Group, LLC’s beneficial ownership of 35,819 common shares, or 5.0% of the class, with shared voting and dispositive power over 35,819 shares. Jane Street Capital, LLC and Jane Street Global Trading, LLC, identified as subsidiaries, separately report beneficial ownership of 6,845 shares (1.0%) and 28,974 shares (4.1%), respectively. Jeremy Kahn signed as an authorized signatory.
Aethlon Medical, Inc. (AEMD) increased its authorized common stock from 20,000,000 shares to 200,000,000 shares, effective October 7, 2026. Stockholders approved the amendment at the October 1, 2026 annual meeting. The amendment changes Article V of the company’s Articles of Incorporation; the common stock has a $0.001 par value per share.
Aethlon Medical, Inc. (AEMD) corrected the reported approval status of Proposal No. 7: stockholders did not approve a proposed charter amendment authorizing 20,000,000 shares of preferred stock. The proposal received 204,122 votes in favor, short of the 355,569 affirmative votes required. The required majority was based on common shares issued and outstanding and entitled to vote on August 10, 2026, the meeting’s record date; the Articles of Incorporation were not amended.
Aethlon Medical, Inc. (AEMD) reported stockholder approval of several proposals at its October 1, 2026 annual meeting. The vote increased the 2020 Equity Incentive Plan’s authorized share issuance by 100,000 shares, effective October 1, 2026 following stockholder approval, and raised authorized common shares from 20,000,000 to 200,000,000 while authorizing 20,000,000 preferred shares.
Stockholders also approved, for Nasdaq Listing Rule 5635(d) purposes, issuance of up to an aggregate 1,126,602 common shares upon exercise of Common Warrants and Placement Agent Warrants issued in the July 2026 offering, plus common stock or convertible or exercisable securities in future private financings and shares or exercisable securities in future warrant exercise inducement transactions. Edward G. Broenniman, James B. Frakes, Nicolas Gikakis, Angela Rossetti and Chetan S. Shah, MD, were elected directors; Haskell & White LLP was ratified for the fiscal year ending March 31, 2027; and named executive officer compensation was approved on an advisory basis.