[8-K] AETHLON MEDICAL INC Reports Material Event

Rhea-AI Filing Summary

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.

Insights

Capital markets compliance analyst

Nasdaq bid-price deficiency disclosed; reverse split already executed.

The company received a Nasdaq notice for failing the $1.00 bid-price requirement after 30 consecutive business days below the threshold. It has requested a hearing, which keeps shares trading on the Nasdaq Capital Market pending the panel’s decision. This sequence is typical for issuers addressing bid-price deficiencies.

A 1-for-10 reverse stock split became effective on October 16, 2025, with adjusted trading from October 20, 2025. A reverse split mechanically increases the per-share price without changing overall market value, which can support bid-price compliance but does not address fundamentals.

The impact will hinge on sustained closing bids at or above the rule’s threshold and the panel outcome. The filing notes the company will monitor the bid and evaluate further actions, with no additional timing details provided in the excerpt.

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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 22, 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 Number)	(IRS Employer Identification No.)

11555 Sorrento Valley Road, Suite 203 San Diego, California	92121
(Address of principal executive offices)	(Zip Code)

Registrant’s telephone number, including area code: (619) 941-0360

N/A

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

Title of each class		Trading Symbol(s)		Name of each exchange on which registered
Common Stock, $0.001 par value per share		AEMD		The Nasdaq Capital Market

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

Item 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.

On October 16, 2025, Aethlon Medical, Inc. (the “Company”) received a notification letter (the “Notice”) from the Listing Qualifications Department (the “Staff”) of the Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that, because the closing bid price for the Company’s common stock was below $1.00 per share for 30 consecutive business days, the Company was not in compliance with the minimum bid price requirement for continued listing on the Nasdaq Capital Market, as set forth in Nasdaq Marketplace Rule 5550(a)(2) (the “Minimum Bid Price Requirement”) and subject to the compliance and delisting provisions of Rule 5810(c)(3)(A) and (iv) thereunder.

The Company has filed a request for a hearing before the Nasdaq Hearings Panel (the “Panel”). The hearing request will automatically stay any suspension or delisting action by Nasdaq pending the panel’s decision, and the Company’s common stock will continue to trade on Nasdaq Capital Market under the symbol “AEMD”.

As part of its plan to regain compliance with Nasdaq listing requirements, the Company has already implemented a 1-for-10 reverse stock split of its common stock, which became effective on October 16 and began trading on October 20, 2025. The Company is monitoring the closing bid price of its common stock and will evaluate additional actions as appropriate to maintain its listing on the Nasdaq Capital Market.

Forward-Looking Statements

Certain information contained in this Current Report on Form 8-K includes “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended. We may, in some cases, use terms such as “intends,” “believes,” “potential,” “anticipates,” “estimates,” “expects,” “plans,” “may,” “could,” “might,” “likely,” “will,” “should” or other words that convey the uncertainty of the future events or outcomes to identify these forward-looking statements. Our forward-looking statements are based on current beliefs and expectations of our management team that involve risks, potential changes in circumstances, assumptions, and uncertainties, including statements regarding our plans to appeal the delisting determination, our ability to regain compliance with Nasdaq’s continued listing requirements and the outcome of any hearing we might request. Any or all of the forward-looking statements may turn out to be wrong or be affected by assumptions we make that later turn out to be incorrect or by known or unknown risks and uncertainties. These forward-looking statements are subject to risks and uncertainties, including risks related to our ability to regain compliance with Nasdaq’s continued listing requirements or otherwise maintain compliance with any other listing requirement of the Nasdaq Capital Market, the potential delisting of our shares from the Nasdaq Capital Market due to our failure to comply with the applicable rules, and the other risks set forth in our filings with the Securities and Exchange Commission, including in our Annual Report on Form 10-K and our Quarterly Reports on Form 10-Q. For all these reasons, actual results and developments could be materially different from those expressed in or implied by our forward-looking statements. You are cautioned not to place undue reliance on these forward-looking statements, which are made only as of the date of this Current Report on Form 8-K. We undertake no obligation to publicly update such forward-looking statements to reflect subsequent events or circumstances unless required by law.

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SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

Date: October 22, 2025	Aethlon Medical, Inc.
	By:	/s/ James B. Frakes
	Name:	James B. Frakes Chief Executive Officer and Chief Financial Officer

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