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Aethlon Medical, Inc. entered into a securities purchase agreement and priced a follow-on offering of approximately $4.0 million, selling 5,633,009 shares of common stock (or pre-funded warrants in lieu thereof) and warrants to purchase up to 5,633,009 shares at $0.7101 per share (or pre-funded warrant) and accompanying warrant. The offering, priced at-the-market under Nasdaq rules, is expected to close on or about July 7, 2026, with Maxim Group LLC as sole placement agent. Aethlon expects net proceeds of about $3.335 million after fees and expenses, which it plans to use mainly for general corporate purposes including research and development, clinical trials, capital expenditures, and working capital. Company officers and directors agreed to 90-day lock-ups, and Aethlon accepted restrictions on additional equity issuances for up to one year, subject to specified exceptions.
Aethlon Medical, Inc. is offering 263,000 shares of common stock, pre-funded warrants to purchase 5,370,009 shares and common warrants to purchase 5,633,009 shares at a combined public offering price of $0.71 per share (or pre-funded warrant) and accompanying warrant. The offering also registers the 11,228,338 shares issuable upon exercise of the warrants, pre-funded warrants and placement agent warrants. The offering is structured on a best-efforts basis with no minimum and includes placement agent warrants equal to 4% of shares issued. Common warrants have a $0.71 exercise price and will be exercisable upon stockholder approval or earlier if specified Pricing Conditions are met. Proceeds examples in the prospectus show a maximum public offering amount of $4,000,000 and estimated proceeds before expenses of $3,740,000. The company discloses material risks including substantial doubt about its ability to continue as a going concern and Nasdaq continued-listing risks.
Aethlon Medical Inc. director Chetan Shah reported a routine tax-related share forfeiture tied to equity compensation. On this Form 4, he forfeited 2,182 shares of common stock to cover tax withholdings when 5,454 vested restricted stock units converted into common shares.
The forfeiture was priced using the issuer’s market price of $0.82 per share at the time. Following this tax-withholding disposition, Shah directly holds 20,840 shares of Aethlon Medical common stock, reflecting his continuing equity stake after the RSU vesting event.
Aethlon Medical director Nicolas Gikakis reported a routine tax-related share withholding. Upon conversion of 5,454 vested restricted stock units into common stock, 2,182 shares were forfeited at a market price of $0.82 per share to cover taxes. After this non-market disposition, he directly holds 20,663 common shares.
BROENNIMAN EDWARD G reported disposition transactions in this Form 4 filing.
Aethlon Medical director Edward G. Broenniman reported a routine tax-related share forfeiture. On conversion of 5,454 vested restricted stock units into common shares, he forfeited 1,091 shares to cover tax withholdings at a market price of $0.82 per share. After this transaction, he directly holds 22,363 shares of common stock.
Aethlon Medical, Inc. filed Pre-Effective Amendment No. 2 to its Form S-1 registration statement. This amendment is limited in scope and primarily adds an updated consent from the company’s independent registered public accounting firm to the exhibits, with no changes to the prospectus in Part I.
The filing details estimated offering-related expenses of about $450,381.52, including SEC, FINRA, legal, accounting and miscellaneous costs. It also summarizes recent unregistered securities activity, including a December 2025 private placement involving pre-funded and common stock warrants at a $4.03 exercise price, and approximately $200,000 of RSU awards covering 87,260 shares for non-employee directors.
Aethlon Medical, Inc. is conducting a best-efforts offering of up to 4,705,882 shares of common stock, each sold with a warrant, at a combined public offering price of $0.85, for maximum gross proceeds of $4,000,000 and estimated net proceeds of $3,740,000 before expenses. Investors that would exceed a 4.99% ownership cap may buy pre-funded warrants instead of shares, each exercisable for one share at $0.001 with purchase price reduced by $0.001. Each share or pre-funded warrant is paired with a common warrant to buy one share at $0.85, generally exercisable after stockholder approval unless specific Nasdaq pricing conditions are met, and expiring five years after issuance. The placement agent, Maxim Group LLC, will receive a 6.5% cash fee and warrants for 4% of the shares sold, and there is no minimum offering size or escrow, so the company may raise less capital than anticipated while still closing the offering.
Aethlon Medical, Inc. is registering up to 6,000,000 shares of common stock with accompanying warrants in a best‑efforts public offering at $2.00 per share and warrant. The registration also covers pre‑funded warrants, additional warrants, placement agent warrants, and 18,240,000 shares of common stock issuable upon their exercise.
If all securities priced at $2.00 are sold for cash, gross proceeds would be about $12,000,000 and proceeds before expenses about $11,220,000. Aethlon plans to use the funds for research and development, clinical trials, regulatory and manufacturing work on its Hemopurifier device, and general corporate purposes. Shares outstanding could increase from 2,370,560 to 8,370,560 after the offering, meaning substantial dilution for existing holders.
The company highlights a history of operating losses, no current revenue, and substantial doubt about its ability to continue as a going concern without new capital. The offering has no minimum amount and no escrow, so the company may raise significantly less than the maximum, while investors would remain fully committed even if limited proceeds are raised.
Aethlon Medical, Inc. reports that it remains a clinical-stage company focused on its Hemopurifier device for oncology and life‑threatening viral infections, but continues to generate no revenue and incurs ongoing losses. R&D spending was about $1.91 million in fiscal 2026 and $2.21 million in 2025.
The company had approximately $5.5 million in cash and cash equivalents as of March 31, 2026, and its financial statements carry a going‑concern qualification due to substantial doubt about funding operations 12 months beyond the filing date. It expects to seek additional capital, including through equity financings.
Subsequent to year‑end, Aethlon sold 800,111 shares under its at‑the‑market program for gross proceeds of about $1.90 million, with net proceeds of roughly $1.85 million. As of June 8, 2026, 2,370,560 common shares were outstanding, and remaining capacity under the ATM facility was approximately $542,716.