AIM ImmunoTech Inc. 8-K Filings

AIM ImmunoTech Inc. (AIM) reports that on September 3 and 4, 2026 it entered into two exchange agreements with Streeterville Capital, LLC tied to an existing Promissory Note dated November 18, 2025. Under these agreements and related partitioned promissory notes, approximately $450,000 of debt was converted into 1,921,441 shares of common stock at an average conversion price of about $0.234 per share. Stockholders had previously approved the conversion or other satisfaction of this note at a special meeting on July 15, 2026 pursuant to NYSE American Company Guide Sections 713(a) and 713(b). The exchange shares were or will be issued in reliance on the Section 3(a)(9) exemption from Securities Act registration.

AIM ImmunoTech Inc. (AIM) entered into five exchange agreements with Streeterville Capital, LLC between August 31 and September 3, 2026 to address an existing promissory note dated February 16, 2024. Under these agreements, approximately $1,224,341 of the note was converted into 5,065,840 shares of common stock.

The exchanges were effected via corresponding partitioned promissory notes at an average conversion price of about $0.24 per share, and as of September 3, 2026 the promissory note was satisfied in full with no remaining amounts owed. Stockholders had previously approved the conversion or other satisfaction of this note on July 15, 2026 pursuant to NYSE American Company Guide Sections 713(a) and 713(b). The exchange shares were or will be issued under the Securities Act exemption in Section 3(a)(9) for exchanges with an existing security holder where no commission or other remuneration is paid for soliciting the exchange.

AIM ImmunoTech Inc. reported that CEO Thomas K. Equels authored a sponsor-supplied article on Breaking Defense titled “Biodefense is force protection: Ready today, prepared for tomorrow.” The piece argues that biodefense should be treated as military force protection and highlights the company’s drug Ampligen (rintatolimod) as a potential broad-spectrum early-onset and/or prophylactic antiviral for Ebola virus disease and coronaviruses, based on government-funded preclinical studies. The article cites 100% survival in one rintatolimod-treated mouse cohort versus 100% mortality in controls in an Ebola model and describes prior preclinical work in SARS-related coronaviruses. AIM emphasizes that these findings are preclinical proof-of-concept, not FDA approval or evidence of clinical efficacy, and includes extensive forward-looking statement and risk-factor cautions.

AIM ImmunoTech Inc. reported second-quarter 2026 results and progress on its lead drug Ampligen in metastatic pancreatic cancer. The company completed patient enrollment and Ampligen dosing in the Phase 2 DURIPANC study combining Ampligen with Imfinzi and engaged Thermo Fisher Scientific’s PPD business to support planned Phase 3 trial design. AIM highlighted prior Dutch Named Patient Program data where Ampligen achieved a median Overall Survival of 34.8 months versus 12.5 months for historical controls in a selected biomarker subset, and anticipates DURIPANC clinical benefit data in Q1 2027 and Overall Survival data in Q3 2027.

Cash and cash equivalents were $9.9 million as of June 30, 2026, compared with approximately $3.0 million as of December 31, 2025, following multiple financing transactions and regaining full NYSE American listing compliance. For Q2 2026, research and development expenses were approximately $589,000 versus $1.2 million a year earlier, while general and administrative expenses rose to about $2.9 million from $1.5 million. Net loss was approximately $(3.8 million), or $(0.43) per share, compared with $(2.8 million), or $(3.68) per share, for Q2 2025. The company is also planning government-focused initiatives to evaluate Ampligen’s antiviral potential against Ebola virus disease.

AIM ImmunoTech Inc. entered into a Proposal Agreement with Sterling Pharma Solutions on July 31, 2026. Under this arrangement, Sterling will manufacture additional batches of the polynucleotide drug substances PolyI and Poly C12U and transfer associated test methods at its Dudley, UK facility. These materials serve as polymer precursors for producing the drug Ampligen.

The estimated cost to AIM is approximately $1.5 million, payable over 12 months. AIM plans to use the manufactured product in ongoing and future clinical trials, including potentially a Phase 3 clinical trial for metastatic pancreatic cancer.

AIM also outlined timing requirements for stockholders wishing to nominate directors or bring other business at the 2026 annual meeting outside Rule 14a-8. Notices must be received between August 18, 2026 and 5:00 p.m. local time on September 17, 2026, with a separate Rule 14a-19 universal proxy notice due by October 19, 2026.

AIM ImmunoTech Inc. is terminating its Equity Distribution Agreement with Maxim Group LLC, which allowed sales of common stock in an at the market offering under Rule 415. Notice of mutual termination was given on July 31, 2026, and the termination is effective August 15, 2026. The company will not incur any termination penalties.

Under this program, from April 1, 2025 to July 31, 2026, AIM ImmunoTech sold 3,200,736 shares of common stock for aggregate gross proceeds of approximately $2.8 million. The company does not intend to issue or sell any additional shares under the Agreement before termination, and after termination it may not offer or sell any additional shares under that Agreement or the related prospectus and prospectus supplement.

AIM ImmunoTech Inc. held a Special Meeting of Stockholders on July 15, 2026, with 10,671,690 of 27,724,245 common shares represented, or 38.5%, exceeding the 33 and 1/3% quorum requirement. Stockholders approved several proposals tied to future equity issuance and capital structure flexibility.

They authorized, for NYSE American Company Guide Sections 713(a) and 713(b) compliance, the issuance of more than 19.99% of outstanding common stock upon exercise of Class H, Class I and Class J common stock purchase warrants, and upon conversion or other satisfaction of promissory notes dated February 16, 2024 and November 18, 2025. Stockholders also approved amendments permitting the Board, at its option, to implement a reverse stock split at a ratio of up to 1-for-25, and approved the ability to adjourn the Special Meeting to a later date or time to solicit additional proxies if necessary.

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.

AIM ImmunoTech Inc. entered into definitive agreements for a registered direct offering and concurrent private placement totaling approximately $2.65 million in gross proceeds. The company is selling 2,554,119 registered shares at $0.5189 per share and matching unregistered shares or pre-funded warrants, plus Class J warrants for up to 10,216,476 shares.

The transaction also includes pre-funded warrants at a $0.001 exercise price and Class J warrants exercisable at $0.5189 per share following stockholder approval. If all pre-funded and Class J warrants are exercised for cash, AIM could receive about $5.3 million in additional gross proceeds. Net proceeds are earmarked for clinical drug manufacturing, current and planned Phase 3 trial activities, and working capital.

AIM ImmunoTech Inc. updated its corporate bylaws to change how most shareholder proposals are approved. Effective June 9, 2026, proposals other than director elections will pass with a majority of the votes cast, meaning only votes "for" or "against" are counted and abstentions and broker non-votes are excluded. Previously, these matters required approval by a majority in voting power of the shares present and entitled to vote. The amendment is detailed in an attached bylaw amendment filed as an exhibit.

AIM ImmunoTech Inc. filed an update describing new investor-focused materials on its lead drug candidate Ampligen for Ebola virus disease preparedness. The company released a Virtual Investor “What This Means” video segment and an Ebola-focused investor presentation reviewing previously published preclinical data and regulatory groundwork.

Management discusses the ongoing Bundibugyo Ebola outbreak, the lack of approved targeted therapies or vaccines for this strain, and Ampligen’s immune‑modulating mechanism as a PAMP‑restricted TLR3 agonist. The materials highlight Biosafety Level 4 preclinical findings showing 100% survival with early Ampligen administration in a lethal Ebola mouse model and note orphan drug designations from U.S. and European regulators, while emphasizing that significant additional testing and human trials are still required.

AIM ImmunoTech Inc. entered into agreements for a registered direct stock offering and a concurrent private placement of warrants. The company is selling 7,519,351 shares of common stock at $0.325 per share, for expected gross proceeds of approximately $2.4 million before expenses.

The concurrent private placement includes Common Warrants to purchase up to 15,038,702 shares at an exercise price of $0.325 per share, potentially adding about $4.9 million in gross proceeds if fully exercised for cash. AIM expects to have at least $6.0 million in stockholders' equity upon closing.

Ladenburg Thalmann is acting as placement agent, receiving an 8.0% cash fee, a 0.75% management fee on aggregate gross proceeds, reimbursement of expenses, and 451,161 Placement Agent Warrants with a $0.40625 exercise price. The offerings are expected to close on or about May 21, 2026, subject to customary conditions.

AIM ImmunoTech Inc. extended the maturity of its promissory note with Streeterville Capital, LLC to June 30, 2027, improving near-term debt obligations. The note’s outstanding balance following a $10,000 extension fee is about $1.68 million.

The company also reported stockholder equity of approximately $2.1 million as of March 31, 2026, a swing of roughly $11.9 million from a stockholder deficit of about $9.8 million as of December 31, 2025. AIM links this stronger equity position and the note extension to supporting its pancreatic cancer development program and other strategic initiatives.

AIM ImmunoTech Inc. filed a report highlighting a Virtual Investor Key Opinion Leader segment focused on Ampligen (rintatolimod) for late-stage pancreatic cancer. The segment features Professor Casper H.J. van Eijck of Erasmus Medical Center and AIM’s CEO discussing Ampligen’s mechanism, clinical data and development strategy.

The company recaps prior Named Patient Program results suggesting longer progression-free survival and overall survival versus historical controls, and notes ongoing Phase 2 DURIPANC trial work with AstraZeneca’s Imfinzi in metastatic pancreatic cancer. The press release and video segment are furnished, not filed, and include customary forward-looking statement cautions.

AIM ImmunoTech Inc. completed a warrant exercise inducement transaction, raising approximately $3.6 million in gross proceeds. Holders agreed to exercise Existing Warrants for cash to purchase an aggregate of 7,451,920 shares of common stock at a reduced exercise price of $0.48 per share.

In return, the company issued new Class H Inducement Warrants to purchase up to 14,903,840 shares of common stock at an exercise price of $0.60 per share, exercisable for five years after the stockholder approval date. Ladenburg Thalmann & Co. Inc. acted as placement agent, receiving about $285,000 in fees, $50,000 for expenses, and about $26,000 as a management fee, plus additional placement agent warrants. All new warrants and underlying shares were issued in a private, unregistered offering under Section 4(a)(2) of the Securities Act.

AIM ImmunoTech Inc. entered into a warrant exercise inducement agreement with holders of existing warrants covering up to 8,719,928 shares of common stock. Holders agreed to exercise these warrants for cash at a reduced exercise price of $0.48 per share.

In return, the company will issue new Class H Inducement Warrants to purchase up to 17,439,856 shares of common stock at $0.60 per share, with a five-year term starting on the stockholder approval date. If all existing warrants are exercised in full, AIM ImmunoTech expects to receive approximately $4.20 million in gross proceeds for working capital and general corporate purposes.

The company engaged Ladenburg Thalmann as placement agent, agreeing to an 8.0% cash fee on aggregate gross proceeds, a 0.75% management fee, reimbursement of up to $50,000 of expenses, and issuance of placement agent warrants for up to 6% of the exercised shares. The Inducement Warrants were issued under a Section 4(a)(2) exemption and the related shares will be registered for resale after closing.

AIM ImmunoTech Inc. entered into Amendment No. 1 to its Equity Distribution Agreement with Maxim Group LLC, which serves as its exclusive sales agent for an at-the-market stock offering. The original agreement covered issuance and sale of up to $3,000,000 of common shares.

The amendment removes the limitation on the amount of shares that may be sold under the agreement, allowing additional sales under the company’s effective shelf registration statement on Form S-3 and related prospectus. AIM is also filing a new prospectus supplement to increase the number of shares that may be offered and sold through this at-the-market program.

AIM ImmunoTech Inc. completed a previously announced rights offering, raising approximately $1.8 million by selling 1,842 units. Each unit included one share of Series G Convertible Preferred Stock and Class G warrants.

The company created a new Series G preferred series of 12,000 shares, each with a stated value of $1,000 and initially convertible into common stock at $1.00 per share, subject to standard anti-dilution adjustments. Conversions are limited so that holders generally cannot exceed 4.99% beneficial ownership, adjustable by the holder up to 9.99%. The rights offering also issued 3,684,000 Class G warrants, each exercisable for one share of common stock at $1.00 per share for five years. The Series G preferred is non-voting (with limited exceptions), participates with common stock in dividends and liquidation on an as-converted basis, and has no mandatory redemption features.

ImmunoTech Inc. filed a current report describing new investor and clinical update materials. The company furnished a February 2026 corporate presentation, a DURIPANC year-end interim clinical progress update, and a February 5, 2026 press release as exhibits, noting these are furnished rather than filed for liability purposes.

The update relates to an ongoing Phase I/II open-label study combining durvalumab (Imfinzi) and rintatolimod (Ampligen) in pancreatic cancer patients with stable disease after FOLFIRINOX therapy. ImmunoTech emphasizes that Ampligen is still under evaluation across several diseases and that significant additional testing and human trials are required, with no assurance of successful or favorable outcomes.

AIM ImmunoTech Inc. filed a current report describing that it has furnished to warrant holders two notices dated January 20, 2026, detailing changes and modifications to its Class E and Class F Common Stock Purchase Warrants. These notices, included as Exhibits 99.1 and 99.2, outline revised terms for those existing warrants but are provided for information purposes under Regulation FD and are not deemed filed under securities laws. The company also reiterates standard forward-looking statement cautions and emphasizes that further clinical testing is required to determine the effectiveness of its product candidate Ampligen® across various conditions.

AIM ImmunoTech Inc. furnished its January 2026 Corporate Presentation as an exhibit to this report. The presentation is provided under Regulation FD to share updated corporate information with the market and is designated as “furnished,” meaning it is not treated as filed for certain liability purposes under federal securities laws.

The company reiterates that the presentation may contain forward-looking statements about its drug candidate Ampligen®, including current and anticipated future activities in viral diseases, cancers, and immune-deficiency disorders. AIM emphasizes that significant additional testing and human clinical trials are required, results from animal studies may not predict human outcomes, and there is no assurance that ongoing or planned clinical trials will be successful, yield favorable data, or proceed as expected. The company directs readers to the risk factors in its latest annual and quarterly reports for a fuller discussion of risks.

AIM ImmunoTech Inc. held its 2025 annual meeting of stockholders on December 16, 2025. A quorum was present, with 1,144,383 of 2,764,188 common shares represented in person or by proxy.

Stockholders voted on four proposals. All director nominees were elected, with individual support ranging from 243,183 to 280,350 votes in favor. Stockholders also strongly supported retaining BDO USA, P.C. as independent registered public accounting firm for 2025, with 1,104,780 votes for and 29,754 against.

The non-binding advisory vote on executive compensation saw 193,668 votes for, 115,337 against, 2,505 abstentions and 833,173 broker non-votes. Although a majority of votes cast supported the pay package, it did not receive the required majority in voting power represented and entitled to vote, and therefore was not approved. In a separate advisory vote on frequency of say-on-pay, 284,856 votes favored annual votes, and the board decided to hold this vote every year.

AIM ImmunoTech Inc. entered into a new financing agreement by issuing an unsecured promissory note with an original principal amount of $3,301,250 to Streeterville Capital, LLC in a private placement. After a $781,250 original issue discount and $20,000 of transaction costs, the company received cash proceeds of $2,500,000. The note bears 10% annual interest, compounded daily, and matures 24 months after issuance.

Each time the company raises money in any fundraising or financing transaction, it must prepay an amount equal to the lesser of 12.5% of the funds raised or the outstanding balance on the note. If an event of default occurs, the interest rate increases to up to 22%, subject to legal limits. Starting six months after funding, the investor may require monthly cash redemptions of up to $250,000, with any unused monthly amounts carrying forward, and the company must pay within three business days of notice.

AIM ImmunoTech Inc. reported that it filed its amended and restated Certificate of Incorporation as Exhibit 3.1(i). The updated certificate is consolidated through October 29, 2025 and supersedes prior exhibit pieces.

The filing lists exhibits under Item 9.01 and includes the Cover Page Inline XBRL file. AIM’s common stock trades on the NYSE American under the symbol AIM.

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 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.