Aethlon Medical SEC Filings

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.

Aethlon Medical, Inc. (AEMD) is offering common stock and pre-funded warrants in a best-efforts offering with no minimum, which could produce proceeds of approximately $4,218,750 before expenses based on the figures shown. The company agreed to pay a placement agent a 6.25% cash fee and issue placement agent warrants equal to 4.0% of the shares sold in the offering. If all inducement and company warrants are exercised, common shares outstanding would be 14,348,711.

The prospectus discloses significant risk factors: Aethlon has no current revenue streams, a history of operating losses, and substantial doubt about its ability to continue as a going concern for 12 months. Net tangible book value per share was $1.32 as of June 30, 2025. The company lists an extensive patent portfolio and global filings for devices and methods related to exosome removal and viral treatment. Shares trade on the Nasdaq Capital Market under AEMD; officers and directors are subject to a 60-day lock-up following this prospectus.

Aethlon Medical, Inc. (AEMD) filed an amended S-1 registration statement describing a best-efforts offering of up to 4,566,210 shares of common stock and related pre-funded warrants and placement-agent warrants. The company discloses it has no material revenue, a history of significant operating losses, and substantial doubt about its ability to continue as a going concern for 12 months without additional financing. Placement agent compensation includes a cash fee equal to 6.25% of gross proceeds and warrants equal to 4.0% of shares issued. Net tangible book value was $1.32 per share as of June 30, 2025. The filing highlights material dilution risks from outstanding warrants and reserved shares, regulatory and FDA compliance risks for its Hemopurifier and related technologies, numerous owned and pending patents across jurisdictions, and a 60-day lock-up by officers and directors.

Aethlon Medical, Inc. (AEMD) is filing an S-1 registration statement that covers a Company Offering and a resale by Selling Securityholders of up to 1,550,000 shares issuable upon exercise of inducement warrants. The prospectus discloses a history of significant operating losses, no current revenue streams, and expresses substantial doubt about the company’s ability to continue as a going concern for 12 months following its most recent financial statements. The offering is on a best-efforts basis with no minimum, so proceeds are presently undeterminable. Placement-agent compensation includes a 6.5% cash fee on gross proceeds and warrants equal to 4.0% of shares issued in the offering. Pre-funded warrants include a 4.99% beneficial ownership exercise blocker (expandable to 9.99% after notice). The company lists a broad patent portfolio across the U.S., Europe, Asia, Canada and other jurisdictions and states proceeds, if received, would be used for general corporate purposes, R&D, clinical trials and working capital.

Armistice Capital, LLC and Steven Boyd report beneficial ownership of 185,000 shares of Aethlon Medical Inc. Together they hold 7.16% of the outstanding common stock, based on 2,585,316 shares outstanding as of June 24, 2025. Armistice Capital is the investment manager of the Armistice Capital Master Fund Ltd., the direct holder of the shares, and exercises shared voting and dispositive power over the securities. Mr. Boyd, as managing member, is reported to share those voting and disposition rights. The Master Fund disclaims direct beneficial ownership due to its investment management agreement.