AIM ImmunoTech CEO reports preferred and warrants

AIM ImmunoTech Inc. CEO and President Thomas K. Equels reported changes in his holdings of derivative securities related to a rights offering.

Rhea-AI Filing Summary

AIM ImmunoTech Inc. CEO and President Thomas K. Equels reported changes in his holdings of derivative securities related to a rights offering. On March 6, 2026, he held 25 shares of Series G Convertible Preferred Stock, each with a stated value of $1,000 and convertible into 1,000 shares of common stock, issued as part of a subscription right in a rights offering. He also reported 50,000 Class G Warrants, each exercisable for one share of common stock at an exercise price of $1.00 per share, likewise issued as part of a subscription right in a rights offering. Following these transactions, he directly held 38,922 shares of common stock.

Insights

Equity compensation and governance analyst

Filing shows CEO restructuring exposure via preferred and warrants.

The CEO of AIM ImmunoTech, Thomas K. Equels, reported positions in Series G Convertible Preferred Stock and Class G Warrants, both tied to a rights offering. These instruments increase potential future exposure to common stock without immediate open-market buying or selling.

Each preferred share has a stated value of $1,000 and is convertible into 1,000 common shares, while each of the 50,000 Class G Warrants is exercisable at $1.00 per share. The filing also shows 38,922 common shares held directly, giving investors a clearer picture of the CEO’s current and potential equity stake.

Insider Trade Summary

Other: 50,025 shares

Other 3 txns

Insider Equels Thomas K

Role CEO & President

Type	Security	Shares	Price	Value
Other	Series G Convertible Preferred Stock	25	$25,000.00	$625K
Other	Class G Warrants	50,000	$0.00	$0.00
holding	Common Stock	--	--	--

Holdings After Transaction: Series G Convertible Preferred Stock — 25 contracts (Direct); Class G Warrants — 50,000 contracts (Direct); Common Stock — 38,922 shares (Direct)

Footnotes (3)

1. F1. Each share has a stated value of $1,000 and is convertible into 1,000 shares of common stock and was issued as part of a subscription right issued in a rights offering.
2. F2. n/a - Preferred shares are perpetual.
3. F3. Each warrant is exercisable for one share of common stock at an exercise price of $1.00 per share and was issued as part of a subscription right issued in a rights offering.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did AIM (AIM) CEO Thomas Equels report in this Form 4?

Thomas Equels reported holdings in Series G Convertible Preferred Stock, Class G Warrants, and common stock. The filing details derivative positions from a rights offering and confirms he directly holds 38,922 shares of AIM ImmunoTech common stock after the reported transactions.

How many Series G Convertible Preferred shares does the AIM (AIM) CEO hold?

The CEO reported holding 25 shares of Series G Convertible Preferred Stock. Each share has a stated value of $1,000 and is convertible into 1,000 shares of common stock, issued as part of a subscription right in a rights offering.

What are the terms of the Class G Warrants reported by AIM (AIM) CEO?

Thomas Equels reported 50,000 Class G Warrants. Each warrant is exercisable for one share of common stock at an exercise price of $1.00 per share, and was issued as part of a subscription right associated with a rights offering by AIM ImmunoTech.

Did the AIM (AIM) CEO buy or sell common stock in this Form 4?

The filing does not show open-market buys or sells of common stock. It primarily reports derivative positions—Series G Convertible Preferred Stock and Class G Warrants—related to a rights offering, with common stock reported as 38,922 shares held directly after the transactions.

What is the significance of the rights offering mentioned for AIM (AIM)?

The rights offering led to issuance of Series G Convertible Preferred Stock and Class G Warrants to the CEO via subscription rights. This structure increases his potential future ownership through conversion and exercise, without immediately changing the reported common shares outstanding in this filing.

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Accepted by SEC EDGAR 03/10/2026 - 05:56 PM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Equels Thomas K

(Last) (First) (Middle)

2117 SOUTHWEST HIGHWAY 484

(Street)

OCALA, FL 34473

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
AIM ImmunoTech Inc. [ AIM ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	CEO & President

3. Date of Earliest Transaction (Month/Day/Year)
03/06/2026

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock								38,922	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Series G Convertible Preferred Stock	$1,000	03/06/2026		J		25(1)		03/06/2026	03/06/2050(2)	Series G Convertible Preferred Stock	25	$25,000	25	D
Class G Warrants	$1	03/06/2026		J		50,000		03/06/2026	03/06/2031	Common Stock	50,000	$0(3)	50,000	D

Explanation of Responses:

1. Each share has a stated value of $1,000 and is convertible into 1,000 shares of common stock and was issued as part of a subscription right issued in a rights offering.

2. n/a - Preferred shares are perpetual.

3. Each warrant is exercisable for one share of common stock at an exercise price of $1.00 per share and was issued as part of a subscription right issued in a rights offering.

	/s/ Thomas K Equels	03/10/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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