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AIM ImmunoTech (NYSE: AIM) lifts equity, regains NYSE American listing standards

Filing Impact
(Moderate)
Filing Sentiment
(Neutral)
Form Type
8-K

Rhea-AI Filing Summary

AIM ImmunoTech Inc. regained full compliance with NYSE American continued listing standards after receiving confirmation from NYSE Regulation. The prior deficiencies under Sections 1003(a)(i), (ii), and (iii) related to stockholders’ equity have been resolved, and the “.BC” below-compliance flag will be removed from its ticker.

To strengthen its equity position, AIM completed several capital-raising transactions, including a warrant exercise inducement for approximately $3.5 million in gross proceeds and two equity/warrant offerings generating about $2.4 million and $2.6 million. The Company believes its stockholders’ equity now exceeds the $6.0 million minimum required by NYSE American and will remain under continued listing monitoring procedures.

Positive

  • Regained NYSE American compliance: NYSE Regulation confirmed AIM resolved all continued listing deficiencies under Sections 1003(a)(i)–(iii), leading to removal of the “.BC” flag and its name from the noncompliant issuers list.
  • Improved stockholders’ equity via capital raises: A warrant exercise inducement and two equity/warrant offerings generated roughly $8.5 million in aggregate gross proceeds, and the company believes stockholders’ equity now exceeds the $6.0 million NYSE American minimum.

Negative

  • None.

Insights

AIM raised equity to clear NYSE American stockholders’ equity deficiencies.

AIM ImmunoTech used a mix of warrant inducements and equity-linked financings to rebuild stockholders’ equity above the NYSE American $6.0 million minimum. Transactions on May 7, 2026, May 21, 2026, and June 10, 2026 generated gross proceeds of about $3.5 million, $2.4 million, and $2.6 million, respectively.

These raises involved common stock, pre-funded warrants and Class I and J warrants, which bolster equity but also introduce future potential dilution. NYSE American confirmed on June 12, 2026 that all Section 1003(a) deficiencies were resolved, removing the “.BC” flag, while the company remains under continued listing monitoring.

Item 8.01 Other Events Other
Voluntary disclosure of events the company deems important to shareholders but not covered by other items.
Item 9.01 Financial Statements and Exhibits Exhibits
Financial statements, pro forma financial information, and exhibit attachments filed with this report.
Warrant exercise inducement proceeds $3.5 million gross proceeds Cash warrant exercises under inducement offer on May 7, 2026
May 21, 2026 equity financing $2.4 million gross proceeds Sale of common stock and Class I warrants
June 10, 2026 equity financing $2.6 million gross proceeds Sale of common stock, pre-funded and Class J warrants
Stockholders’ equity requirement $6.0 million minimum NYSE American continued listing standard threshold
Shares sold May 21, 2026 7,519,351 shares Common stock issued with Class I warrants
Class I warrants issued 15,038,702 shares underlying Warrants issued in May 21, 2026 transaction
Pre-funded warrants issued 1,782,616 shares underlying Pre-funded warrants from June 10, 2026 offering
Class J warrants issued 10,216,476 shares underlying Class J warrants from June 10, 2026 transaction
continued listing standards regulatory
"regained compliance with NYSE American’s continued listing standards related to stockholders’ equity"
Ongoing rules a stock exchange requires a listed company to meet to keep its shares trading publicly, such as minimum share price, market value, timely financial reports, and governance practices. Think of it as a membership checklist for a club: falling short can lead to warnings or removal from the exchange, which can sharply reduce liquidity, investor confidence, and a stock’s value. Investors watch these standards to gauge regulatory risk and the stability of their holdings.
stockholders’ equity financial
"Following the closing of these transactions, the Company believes it currently has stockholders’ equity in excess of the $6.0 million minimum requirement"
Stockholders’ equity is the portion of a company’s value that belongs to its owners after subtracting what the company owes from what it owns — like the equity in a house after paying the mortgage. For investors it shows the company’s net worth and can indicate financial strength, a cushion against losses, and the amount potentially available to support dividends or reinvestment; tracking changes helps assess whether the business is building or eroding owner value.
warrant exercise inducement offer letter agreement financial
"entered into a warrant exercise inducement offer letter agreement with certain a holder of existing warrants"
pre-funded warrants financial
"pre-funded warrants to purchase up to 1,782,616 shares of common stock"
Pre-funded warrants are financial instruments that give investors the right to purchase a company's stock at a set price, but with most or all of the purchase price paid upfront. They function like a coupon or gift card for stock, allowing investors to buy shares later at a fixed price, which can be beneficial if they want to avoid future price increases. This makes them important for investors seeking flexibility and certainty in their investment plans.
TLR3 agonist medical
"Ampligen is a dsRNA and highly selective TLR3 agonist immuno-modulator that has shown broad-spectrum activity"
A TLR3 agonist is a drug or molecule that activates Toll‑like receptor 3, a natural sensor on immune cells that recognizes viral genetic material and switches the immune system into a defensive mode. For investors, it matters because such agents can boost vaccine effectiveness or stimulate anti‑tumor and antiviral responses, potentially creating new therapeutic opportunities or clinical risks tied to efficacy, safety, and regulatory approval—think of it as flipping an immune “on” switch.
Private Securities Litigation Reform Act of 1995 regulatory
"protection of the safe harbor for forward-looking statements contained in the Private Securities Litigation Reform Act of 1995"
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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):   June 12, 2026

 

AIM IMMUNOTECH INC.

(Exact name of registrant as specified in its charter)

 

Delaware   001-27072   52-0845822
(State or other jurisdiction
of incorporation)		   (Commission
File Number)		   (IRS Employer
Identification No.)

 

2117 SW Highway 484, Ocala, Florida   34473
(Address of principal executive offices)   (Zip Code)

 

Registrant’s telephone number, including area code: (352) 448-7797

 

Not Applicable

(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   Name of each exchange on which registered
Common Stock, par value $0.001 per share   AIM   NYSE American

 

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 8.01 Other Events.

 

On June 15, 2026, AIM ImmunoTech Inc. (the “Company”) issued a press release announcing that on June 12, 2026, AIM received a letter from NYSE Regulation confirming that the Company has regained compliance with the continued listing standards of the NYSE American LLC (“NYSE American”). A copy of the press release is attached hereto as Exhibit 99.1 and is incorporated herein by reference.

 

The letter stated that the Company is back in compliance with all of the NYSE American continued listing standards set forth in Part 10 of the NYSE American Company Guide (the “Company Guide”). Specifically, the Company resolved the previously identified deficiencies under Section 1003(a)(i), (ii), and (iii) of the Company Guide. As a result, the “below compliance” (“.BC”) indicator will be removed from the Company’s trading symbol for its common stock and the Company will be taken off NYSE American’s list of noncompliant issuers on its website. The Company will remain subject to NYSE American’s continued listing monitoring procedures and remains committed to maintaining strong financial discipline and governance going forward.

 

Cautionary Note Regarding Forward-Looking Statements

 

This Current Report on Form 8-K contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended (the “Securities Act”), and Section 21E of the Securities Exchange Act of 1934, as amended (the “Exchange Act”). These statements are subject to risks and uncertainties that could cause actual results to differ materially, including but not limited to risks related to NYSE compliance, clinical development, regulatory approval, and other factors described in the Company’s filings with the Securities and Exchange Commission, including its most recent Annual Report on Form 10-K and subsequent Quarterly Reports on Form 10-Q. The Company undertakes no obligation to update any forward-looking statements.

 

Item 9.01 Financial Statements and Exhibits.

 

(d) Exhibits

 

Exhibit No.   Description
99.1   Press Release, dated June 15, 2026
104   Cover Page Interactive Data File (embedded within the Inline XBRL document).

 

 

 

 

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: June 15, 2026 AIM ImmunoTech Inc.
   
  /s/ Thomas K. Equels
  Thomas K. Equels
  Chief Executive Officer

 

 

 

 

Exhibit 99.1

 

 

AIM ImmunoTech Regains NYSE American Compliance, Company Resolves Stockholder Equity Deficiency

 

OCALA, Fla., June 15, 2026 / AIM ImmunoTech Inc. (NYSE American: AIM) (“AIM,” or the “Company”), an immuno-pharma company focused on the development of therapeutics to treat multiple types of cancers, immune disorders, and viral diseases, today announced that it has received written notice from the NYSE American that AIM has regained compliance with NYSE American’s continued listing standards related to stockholders’ equity.

 

On May 7, 2026, the Company entered into a warrant exercise inducement offer letter agreement with certain a holder of existing warrants, pursuant to which the holders agreed to exercise their warrants in cash at a reduced exercise price for aggregate gross proceeds of approximately $3.5 million in consideration of the Company’s agreement to issue new warrants upon such exercise. On May 21, 2026, the Company issued and sold 7,519,351 shares of common stock, par value $0.001 per share, and, in a concurrent private placement, Class I warrants to purchase up to 15,038,702 shares of common stock to certain investors for aggregate gross proceeds of approximately $2.4 million. On June 10, 2026, the Company issued and sold 2,554,119 shares of common stock and, in a concurrent private placement, 771,503 shares of common stock, pre-funded warrants to purchase up to 1,782,616 shares of common stock, and Class J warrants to purchase up to 10,216,476 shares of common stock to certain investors for aggregate gross proceeds of approximately $2.6 million. Following the closing of these transactions, the Company believes it currently has stockholders’ equity in excess of the $6.0 million minimum requirement.

 

The NYSE American formally notified the Company on June 12, 2026, confirming that the Company had successfully addressed and resolved all deficiencies related to Sections 1003(a)(i), (ii), and (iii) of the NYSE American Company Guide. As a result, the “below compliance” (“.BC”) indicator will be removed from the Company’s trading symbol for its common stock, and the Company will be removed from NYSE American’s list of noncompliant issuers on its website. The Company will remain subject to NYSE American’s continued listing monitoring procedures and remains committed to maintaining strong financial discipline and governance going forward.

 

About AIM ImmunoTech Inc.

 

AIM ImmunoTech Inc. is an immuno-pharma company focused on the research and development of its lead product, Ampligen® (rintatolimod), for the treatment of late-stage pancreatic cancer, a lethal and unmet global health problem. Ampligen is a dsRNA and highly selective TLR3 agonist immuno-modulator that has shown broad-spectrum activity in clinical trials.

 

For more information, please visit aimimmuno.com and connect with the Company on X, LinkedIn, and Facebook.

 

Forward-Looking Statements

 

This press release contains 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. amended, that involve a number of risks and uncertainties. Any forward-looking statements set forth in this press release speak only as of the date hereof. Such forward-looking statements may include statements relating to: statements regarding the Company’s ability to maintain compliance with NYSE American continued listing standards; the Company’s stockholders’ equity position and its ability to remain above the $6.0 million minimum requirement; Ampligen’s potential efficacy and applicability in the treatment of Ebola virus disease and other conditions; the potential for prophylactic or early-onset therapeutic applications; the timing of commencement, enrollment, completion, and results of clinical trials; intellectual property expansion and regulatory progress; and the timing for receiving government approvals, if at all. For all forward-looking statements, the Company claims the protection of the safe harbor for forward-looking statements contained in the Private Securities Litigation Reform Act of 1995. All statements in this press release other than statements of historical fact, including statements regarding the potential of Ampligen’s mechanism of action, anticipated regulatory milestones, our future results of operations and financial position, our business strategy and plans, and our objectives for future operations, are forward-looking statements. For this press release, words such as “believe,” “may,” “might,” “will,” “could,” “should,” “can,” “estimate,” “continue,” “anticipate,” “intend,” “expect,” “envision,” “potential” and similar expressions are intended to identify forward-looking statements, but the absence of these words does not mean that a statement is not forward-looking. The Company does not undertake to update any of these forward-looking statements to reflect events or circumstances that occur after the date hereof, except as required by applicable law. The Company is in various stages of seeking to determine whether Ampligen will be effective in the treatment of multiple types of viral diseases, cancers, and immune-deficiency disorders, and disclosures in the Company’s reports filed with the SEC, on its website, and in its press releases set forth its current and anticipated future activities. These activities are subject to change for a number of reasons. Significant additional testing and trials will be required to determine whether Ampligen® will be effective in the treatment of these conditions, including Ebola virus disease. Results obtained in preclinical studies do not necessarily predict results in humans. Human clinical trials will be necessary to prove whether or not Ampligen® will be efficacious in humans. No assurance can be given as to whether current or planned clinical trials will be successful or yield favorable data, and the trials are subject to many factors including lack of regulatory approval(s), lack of study drug, lack of adequate funding, or a change in priorities at the institutions sponsoring other trials. Even if these clinical trials are initiated, the Company cannot assure that the clinical studies will be successful or yield any useful data. No assurance can be given that the findings in preliminary studies will prove true or that such studies will yield favorable results, or that future studies will not result in findings that are different from those reported in the studies referenced in the Company’s reports filed with the SEC, on the Company’s website, and in its press releases. Operating in foreign countries carries with it a number of risks, including potential difficulties in enforcing intellectual property rights. The Company cannot assure that its potential foreign operations will not be adversely affected by these risks.

 

For a detailed discussion of these and other risk factors, please review the “Risk Factors” section of the Company’s most recent Annual Report on Form 10-K, Quarterly Reports on Form 10-Q, and other filings with the SEC. These filings are available at www.sec.gov and www.aimimmuno.com. You should not place undue reliance on any forward-looking statements, which speak only as of the date of this press release. Except as required by applicable law, the Company does not intend to update, and expressly disclaims any duty to update, any forward-looking statements to reflect events or circumstances after the date hereof or to reflect new information, actual results, revised expectations, or the occurrence of unanticipated events. The information found on the Company’s website or on other websites referenced or linked to in this press release is not incorporated by reference into this press release.

 

Investor Contact:

 

JTC Team, LLC

Jenene Thomas

908.824.0775

AIM@jtcir.com

 

 

 

Source: View Original Filing on SEC EDGAR

FAQ

What did AIM (AIM) announce about its NYSE American listing status?

AIM ImmunoTech announced it has regained full compliance with NYSE American continued listing standards. NYSE Regulation confirmed all stockholders’ equity deficiencies under Sections 1003(a)(i), (ii), and (iii) were resolved, and the “.BC” below-compliance indicator will be removed from its trading symbol.

How did AIM (AIM) address its stockholders’ equity deficiency with NYSE American?

AIM addressed the equity deficiency through a warrant exercise inducement and two equity-linked financings. These transactions produced about $3.5 million, $2.4 million, and $2.6 million in gross proceeds, which together increased stockholders’ equity above the $6.0 million minimum required by NYSE American.

What recent financing transactions did AIM (AIM) complete to raise capital?

AIM completed a May 7, 2026 warrant exercise inducement raising about $3.5 million, a May 21, 2026 sale of 7,519,351 shares and Class I warrants for $2.4 million, and a June 10, 2026 offering of shares, pre-funded warrants, and Class J warrants for approximately $2.6 million.

What is the NYSE American stockholders’ equity requirement mentioned by AIM (AIM)?

NYSE American requires listed companies to maintain at least $6.0 million in stockholders’ equity under its continued listing standards. After its recent capital-raising transactions, AIM stated it believes its stockholders’ equity currently exceeds this $6.0 million minimum threshold.

Will AIM (AIM) still be monitored by NYSE American after regaining compliance?

Yes. Although NYSE American confirmed AIM has resolved prior stockholders’ equity deficiencies and removed the “.BC” flag, the company will remain subject to the exchange’s continued listing monitoring procedures, which track ongoing compliance with financial and governance requirements.

What securities did AIM (AIM) issue in its May 21 and June 10, 2026 financings?

On May 21, 2026, AIM issued 7,519,351 common shares and Class I warrants for up to 15,038,702 shares. On June 10, 2026, it issued 2,554,119 common shares, 771,503 pre-funded warrants, and Class J warrants to purchase up to 10,216,476 shares.

Filing Exhibits & Attachments

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