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.
The Aethlon Medical, Inc. (Nasdaq: AEMD) SEC filings page on Stock Titan brings together the company’s U.S. regulatory documents, giving investors direct access to the disclosures that frame its clinical and financial profile. Aethlon is a clinical-stage medical device company based in San Diego, California, focused on developing the investigational Hemopurifier to address unmet needs in oncology and life-threatening infectious diseases.
Through this page, users can review annual reports on Form 10-K and quarterly reports on Form 10-Q, which describe Aethlon’s business, risk factors, Hemopurifier development programs, and financial condition. Current reports on Form 8-K provide detail on material events such as public offerings and private placements of common stock and warrants, reverse stock split actions, Nasdaq listing notices and compliance updates, and key clinical and corporate announcements referenced in company press releases.
For those tracking AEMD’s capital structure, registration statements on Form S-1 and related amendments outline the terms of securities offerings, including common stock, pre-funded warrants, and common stock purchase warrants, as well as associated registration rights. These filings explain how many shares and warrants are being registered, exercise prices and durations, and the company’s stated use of proceeds for working capital, clinical trial expenses, research and development, and other corporate purposes.
Stock Titan enhances these filings with AI-powered summaries that highlight key elements of lengthy documents, helping readers quickly identify items such as Hemopurifier development disclosures, Nasdaq listing discussions, and financing terms. Real-time updates from EDGAR ensure that new Aethlon Medical filings appear promptly, while dedicated sections make it easier to locate material 8-Ks, registration statements, and periodic reports relevant to AEMD’s evolving clinical-stage strategy.
Aethlon Medical, Inc. entered into two amendments on January 22, 2026 that change the terms of an existing financing arrangement with an institutional investor. The company amended its Securities Purchase Agreement and a related Pre-Funded Common Stock Purchase Warrant so that it no longer needs to obtain shareholder approval under Nasdaq Rule 5635 before the pre-funded warrants can be issued or exercised.
As a result of these amendments, the pre-funded warrants held by the investor are now immediately exercisable. All other terms of the original Securities Purchase Agreement remain in place. The full legal details of the changes are provided in the amendments filed as exhibits to the report.
Aethlon Medical, Inc. has filed a prospectus to register up to 2,031,024 shares of common stock for resale by existing securityholders. These shares are issuable from previously sold Common Warrants, Pre-Funded Warrants, Inducement Warrants and Placement Agent Warrants tied to a December 2025 private financing and warrant inducement transaction. The company will not receive proceeds from the resale itself, but could receive cash if holders exercise the warrants, which mostly have exercise prices of $4.03 or $5.04 per share versus a recent Nasdaq price of $2.75. All warrants become exercisable only after required stockholder approval under Nasdaq rules, and the common warrants will have no value if that approval is not obtained. Aethlon is a smaller reporting company developing the Hemopurifier, a clinical-stage blood-filtration device targeting cancer-related extracellular vesicles and life‑threatening enveloped viruses, with early oncology trials underway in Australia and a similar study planned in India.
Aethlon Medical, Inc. is asking stockholders to vote at its February 19, 2026 virtual annual meeting on seven proposals, including director elections and auditor ratification. The company seeks approval to amend its 2020 Equity Incentive Plan to add 100,000 shares and to amend its Articles of Incorporation to increase authorized common stock from 6,000,000 to 100,000,000 shares. Stockholders are also being asked to approve, for Nasdaq Listing Rule 5635(d) purposes, the potential issuance of up to 1,662,553 shares of common stock underlying warrants issued in a December 2025 PIPE financing, and up to 368,471 shares underlying inducement warrants.
The proxy highlights governance practices, director and executive compensation, and stock ownership, noting 973,213 shares of common stock outstanding as of the January 14, 2026 record date. It also describes progress in an Australian oncology trial of the Hemopurifier device, including completion of the first three-patient cohort without device-related serious adverse events, DSMB support to advance to a second cohort, and early laboratory signals on extracellular vesicles and immune markers.
Aethlon Medical, Inc. is registering up to 2,031,024 shares of common stock for resale by existing securityholders. These shares are issuable upon exercise of 1,042,820 Common Warrants, 595,897 Pre-Funded Warrants, 368,471 Inducement Warrants and 23,836 Placement Agent Warrants issued in December 2025 private transactions.
The warrants become exercisable only after required Warrant Stockholder Approval under Nasdaq rules; if this approval is not obtained, the Common Warrants will not be exercisable and may have no value. The Common and Inducement Warrants have a $4.03 exercise price, the Placement Agent Warrants a $5.04 exercise price, and the Pre-Funded Warrants a $0.0001 exercise price.
Aethlon will not receive proceeds from the resale of shares, but could receive up to approximately $5.8 million from cash warrant exercises. Shares outstanding were 973,213 as of January 5, 2026 and would be 3,004,237 assuming full exercise of the Registrable Securities. The company is a clinical-stage developer of the Hemopurifier device for cancer, viral infections, and organ transplantation applications.
Aethlon Medical, Inc. entered into a private PIPE financing and a related warrant inducement to raise approximately $3.3M in gross proceeds. In the PIPE, the company agreed to sell 596,452 shares of common stock (or pre-funded warrants in lieu of shares) and issue 1,043,791 Common Warrants, each unit priced at $4.03. The Common Warrants carry a $4.03 exercise price, become exercisable after stockholder approval of the underlying shares, and expire 5.5 years after that approval.
Separately, Aethlon signed a warrant inducement agreement under which a holder of existing warrants may exercise those warrants for cash at a reduced exercise price of $4.03 per share and receive new warrants equal to 175% of the exercised warrant shares, also at a $4.03 exercise price and a 5.5‑year term after stockholder approval. The company plans to use net proceeds for working capital and general corporate purposes and agreed to file resale registration statements for both the PIPE securities and the new warrants, with liquidated damages if certain registration deadlines are missed.
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 $1.49M for the quarter, with operating expenses of $1.51M, down 48% year over year. Cash and cash equivalents were $5.85M at September 30, 2025.
A registered direct offering closed in early September generated net proceeds of $3.74M. The share count increased to 761,318 outstanding as of November 10, 2025 following the offering and two reverse stock splits (1‑for‑8 in June and 1‑for‑10 in October). Management states there is substantial doubt about the company’s ability to continue as a going concern without additional capital.
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 $218,000 recognized as an expense reduction. The company regained Nasdaq minimum bid compliance after the October reverse split.
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.