Aim Immunotech SEC Filings

Form 8-K – Item 8.01. AIM ImmunoTech (AIM) disclosed a mid-year update from its ongoing Phase 2 DURIPANC trial evaluating Ampligen (rintatolimod) + AstraZeneca’s Imfinzi (durvalumab) in metastatic pancreatic cancer patients who achieved stable disease after FOLFIRINOX.

The Company characterizes the interim results as “positive,” but the filing does not provide numerical response, progression-free-survival or safety data. Full details are contained in Exhibit 99.1 (press release) and Exhibit 99.2 (clinical progress deck), which are incorporated by reference.

Investment takeaways:

• Positive clinical signal in a high-mortality indication may raise Ampligen’s probability of success and strengthen AIM’s oncology pipeline narrative.
• Collaboration with AstraZeneca lends external validation.
• No financial metrics, partnership economics or guidance were announced; commercial impact remains distant and dependent on future trials and regulatory approvals.
• Forward-looking-statement language underscores unresolved clinical, regulatory and funding risks.

AIM ImmunoTech has filed Amendment No. 4 to its Form S-1 to sell up to 1,052,631 Units—each containing one share (or a pre-funded warrant) plus a five-year Class E warrant and an 18-month Class F warrant—at an assumed $9.50 per Unit for gross proceeds of about $10 million. Maxim Group is acting on a reasonable best-efforts basis, earning a 7 % cash fee and placement-agent warrants equal to 5 % of the Units.

Estimated $9 million net proceeds will be directed to:

• working capital and payables
• clinical programs for Ampligen (pancreatic cancer, ME/CFS, post-COVID)
• manufacturing
• early repayment of a $310 k Streeterville bridge note

The company executed a 1-for-100 reverse split on 12 Jun 2025; trading on NYSE American resumed 17 Jun under “AIM.” Shares outstanding would rise from 0.764 m to 1.817 m post-offering, lifting as-adjusted book value from –$8.47 to $1.63 but creating immediate dilution of $7.87 per share.

At 31 Mar 2025 AIM’s stockholders’ equity was –$3.9 m, below the exchange’s $6 m threshold. The NYSE American has accepted a compliance plan running to 11 Jun 2026; successful capital raising is pivotal. The filing reiterates a going-concern warning, notes that the offering lacks a minimum or escrow, and highlights liquidity risks if proceeds fall short.

AIM ImmunoTech Inc. ("AIM") has filed a Form S-8 to register 15,283 additional shares of common stock for issuance under its Amended and Restated 2018 Equity Incentive Plan. The newly registered shares result from the plan’s evergreen provision, which automatically increases the share pool each 1 July by 2% of the company’s then-outstanding common stock. The filing incorporates by reference six prior S-8 registrations and the company’s periodic SEC reports, thereby limiting new disclosure to the incremental share registration and updated exhibits.

The Form S-8 is a routine administrative filing that enables AIM to continue granting equity awards to employees, directors and consultants without preparing a separate prospectus for each issuance. Key exhibits include the plan document, legal opinions and auditor consents. Because only 15,283 shares are being added, the transaction represents a small potential dilution to existing shareholders while supporting AIM’s ability to attract and retain talent through equity incentives.

AIM ImmunoTech Inc. (NYSE American: AIM) has filed Amendment No. 1 to its Form S-3 shelf registration statement, seeking authorization to issue up to $100 million of securities. The registration covers a wide variety of instruments—including common and preferred stock, debt securities (senior, senior subordinated or subordinated, convertible or non-convertible), warrants, purchase contracts, subscription rights, depositary shares and units—allowing management to access capital “from time to time” and in multiple tranches.

The company is classified as a non-accelerated filer and a smaller reporting company; it is not an emerging growth company. AIM’s common stock last traded at $9.50 on 23 June 2025. Specific terms (pricing, size, use of proceeds, underwriting arrangements) will be detailed in future prospectus supplements when individual offerings are launched.

Because the filing is a shelf registration under Rule 415, the statement enables AIM to move quickly when market conditions are favorable. However, the document also cautions investors that the information is preliminary and subject to change until the SEC declares the registration effective. Standard risk disclosures and forward-looking-statement safe-harbor language are included, and investors are directed to the company’s latest 10-K and subsequent filings for detailed risk factors.

Key takeaways for investors:

• Financing flexibility: Up to $100 million aggregate offering amount across multiple security types.
• Dilution potential: Common-equity issuance could dilute existing shareholders, depending on the mix ultimately chosen.
• Timing unknown: Securities may be issued “from time to time” after effectiveness; no immediate issuance timetable is provided.
• No earnings data: The filing does not include current operating results or guidance; it strictly pertains to capital-markets authority.

AIM ImmunoTech received a warning notification from NYSE American on June 17, 2025, regarding non-compliance with minimum stockholders' equity requirements. The company reported a stockholders' deficit of -$3.9 million as of March 31, 2025, falling short of the required:

• $4.0 million minimum for companies with losses in 3 of 4 recent fiscal years
• $6.0 million minimum for companies with losses in 5 most recent fiscal years

This follows a previous warning from December 17, 2024. The NYSE American has accepted AIM's compliance plan, giving the company until June 11, 2026 to meet requirements. Trading continues under symbol "AIM" without interruption, and the warning does not affect business operations or SEC reporting requirements. The company's stock resumed trading on NYSE American on June 17, 2025.