AIM ImmunoTech Inc.
For the period ended Dec 31, 2025. Filed Mar 27, 2026.
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A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.
FY2025 · Filed Mar 27, 2026
AIM$0.14-12.1%Stored close · as of Nov 10, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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ITEM 15. Exhibits and Financial Statement Schedules
Financial Statements and Schedules - See index to financial statements on page F-1 of this Annual Report. All other schedules called for under regulation S-X are not submitted because they are not applicable or not required, or because the required information is included in the financial statements or notes thereto.
(i) Exhibits - See exhibit index below.
| Exhibit No. | Description | Incorporated by Reference herein from Form or Schedule | Filing Date | SEC File/Reg. Number |
|---|---|---|---|---|
| 3.1(i) | Certificate of Incorporation as Amended and Restated through June 10, 2025 | Form 8-K (Exhibit 3.1(i)) | 10/29/2025 | 001-27072 |
| 3.1.7 | Certificate of Designation of Series G Preferred Stock | Form 8-K (Exhibit 3.1) | 3/6/2026 | 001-27072 |
| 3.3 | Amended and Restated By-Laws of Registrant | Form 8-K (Exhibit 3.7(ii) | 2/26/2025 | 001-27072 |
| 4.1 | Specimen certificate representing our Common Stock | Form 10-Q (Exhibit 4.1) | 11/14/2024 | 001-27072 |
| 4.2 | Rights Agreement, dated May 12, 2023 between AIM ImmunoTech Inc. and American Stock Transfer & Trust Company, LLC. | Form 8-A12B (Exhibit 4.6) | 5-15-2023 | 001-27072 |
| 4.3 | Amended and Restated Rights Agreement, dated as of November 14, 2017, between the Company and American Stock Transfer & Trust Company LLC. The Amended and Restated Right Agreement includes the Form of Certificate of Designation, Preferences and Rights of the Series A Junior Participating Preferred Stock, the Form of Rights Certificate and the Summary of the Right to Purchase Preferred Stock | Form 8-A12B (Exhibit 1) | 11/14/2017 | 001-27072 |
| 4.4 | Amended and Restated Rights Agreement, dated as of November 9, 2022, between the Company and American Stock Transfer & Trust Company LLC. | Form 8-A12B (Exhibit 4.4) | 11/14/2022 | 001-27072 |
| 4.5 | Amended and Restated Rights Agreement, dated as of February 9, 2023, between the Company and American Stock Transfer & Trust Company LLC. | Form 8-A12B/A (Exhibit 4.5) | 2/10/2023 | 001-27072 |
| 4.6 | Form of Indenture | Form S-3 (Exhibit 4.4) | 1/21/2022 | 333-262280 |
| 4.8 | 2018 Rights Offering Form of Non-Transferrable Subscription Rights Certificate | Form S-1/A (Exhibit 4.14) | 2/6/2019 | 333-229051 |
| 4.9 | 2018 Rights Offering Form of Warrant Agreement | Form 8-K (Exhibit 4.1) | 2/27/2019 | 001-27072 |
| 4.10 | 2018 Rights Offering Form of Warrant Certificate | Form S-1/A (Exhibit 4.15) | 2/6/2019 | 333-229051 |
| 4.11 | 2018 Rights Offering Warrant Agency Agreement with American Stock Transfer & Trust | Form 8-K (Exhibit 4.1) | 3/8/2019 | 001-27072 |
| 4.12 · Description of Common Stock. · Filed herewith | ||||
|---|---|---|---|---|
| 4.13 | Form of Warrant Agency Agreement between AIM and Equiniti Trust Company, LLC | Form 8-K (Exhibit 4.1) | 3/8/2019 | 001-270072 |
| 4.14 | 2026 Warrant Agency Agreement with Equinity Trust Company, LLC | Form S-1/A3 (Exhibit 4.15) | 2/10/2026 | 333-292085 |
| 4.15 | Form of Series G Convertible Common Stock Purchase Warrant | Form S-1/A3 (Exhibit 4.14) | 2/10/2026 | 333-292085 |
| 4.16 | Form of Non-Transferrable Subscription Rights Certificate | Form S-1/A3 (Exhibit 4.16) | 2/10/2026 | 333-292085 |
| 4.17+ † | 2024 Class A/B Common Stock Purchase Warrant | Form 8-K (exhibit 4.1) | 6/3/24 | 001-27072 |
| 4.18+ † | 2024 Class C Common Stock Purchase Warrant with Armistice Capital Master Fund Ltd | Form 8-K (Exhibit 4.1) | 10/1/2024 | 001-27072 |
| 4.19+ † | 2024 Class D Common Stock Purchase Warrant with Armistice Capital Master Fund Ltd | Form 8-K (Exhibit 4.2) | 10/1/2024 | 001-27072 |
| 4.20+ † | 2025 Class E/F Warrants | Form S-1A no. 3 (exhibit 4.26) | 7/15/2025 | 33-3284443 |
| 4.21+ † | 2025 Pre-Funded Warrant | Form S-1A no. 3 (exhibit 4.27) | 7/15/2025 | 33-3284443 |
| 10.1 | Form of Confidentiality, Invention and Non-Compete Agreement | Form S-1 (Exhibits) | 11/2/1995 | 33-93314 |
| 10.2 | Supply Agreement with HollisterStier Laboratories LLC dated December 5, 2005 | Form 10-K (Exhibit 10.46) | 4/3/2006 | 001-13441 |
| 10.3 | Amendment to Supply Agreement with HollisterStier Laboratories LLC dated February 25, 2010 | Form 10-K (Exhibit 10.68) | 3/12/2010 | 001-13441 |
| 10.4 | Amendment to Supply Agreement with HollisterStier Laboratories LLC executed September 9, 2011 | Form 10-K (Exhibit 10.22) | 3/14/2012 | 001-13441 |
| 10.5 | Early Access Agreement with Impatients N.V. dated August 3, 2015+† | Form 10-Q (Exhibit 10.1) | 11/16/2015 | 000-27072 |
| 10.6+ † | Addendum to Early Access Agreement with Impatients N.V. dated October 16, 2015 | Form 10-Q (Exhibit 10.2) | 11/16/2015 | 000-27072 |
| 10.7+ † | Licensing Agreement dated April 13, 2016 with Lonza Sales AG | Form 10-Q/A (Exhibit 10.2) | 8/29/2016 | 000-27072 |
| 10.8+ † | Amended and Restated Early Access Agreement with Impatients N.V. dated May 20, 2016. | Form 8-K/A (Exhibit 10.1) | 5/8/2017 | 000-27072 |
| 10.9 | December 13, 2016 Amendment No. 1 to Amended and Restated Early Access Agreement with Impatients N.V. | Form 10-K (Exhibit 10.45) | 3/30/2018 | 001-27072 |
| 10.10 | June 28, 2017 Amendment No. 2 to Amended and Restated Early Access Agreement with Impatients N.V. | Form 10-K (Exhibit 10.46) | 3/30/2018 | 001-27072 |
| 10.11 | February 14, 2018 Amendment No. 3 to Amended and Restated Early Access Agreement with Impatients N.V. | Form 10-K (Exhibit 10.47) | 3/30/2018 | 001-27072 |
| 10.12 | March 26, 2018 Amendment No. 4 to Amended and Restated Early Access Agreement with Impatients N.V. | Form 10-K (Exhibit 10.48) | 3/30/2018 | 001-27072 |
| 10.13 | 2018 Equity Incentive Plan * | Form DEF-14A (Appendix A) | 8/3/2018 | 001-27072 |
| 10.14 | October 9, 2018, Clinical Trial Agreement with Roswell Park Comprehensive Cancer Center | Form 10-Q (Exhibit 10.1) | 11/14/2018 | 001-27072 |
| 10.15 | March 20, 2020 Amendment to 2017 Material Transfer and Research Agreement with Roswell Park Cancer Institute | Form 8-K (Exhibit 10.1) | 3/26/2020 | 001-27072 |
| 10.16+ † | July 1, 2020, Material Transfer and Research Agreement with the Japanese National Institute of Infectious Diseases and Shionogi & Co., Ltd. | Form 10-Q (Exhibit 10.3) | 8/14/2020 | 001-27072 |
| 10.17+ † | July 6, 2020, Clinical Trial Agreement with Roswell Park Comprehensive Cancer Center. | Form 10-Q (Exhibit 10.4) | 8/14/2020 | 001-27072 |
| 10.18+ † | August 6, 2020, Project Work Order with Amarex Clinical Research LLC. | Form 10-Q (Exhibit 10.5) | 8/14/2020 | 001-27072 |
| 10.19 | November 10, 2020 employment agreement with Thomas K. Equels. * | Form 10-Q (Exhibit 10.1) | 11/12/2020 | 001-27072 |
| 10.20 | December 22, 2020 Master Service Agreement with Pharmaceutics International Inc. as a Fill & Finish provider for Ampligen | Form 10-K (Exhibit 10.75) | 3/31/2021 | 001-27072 |
| 10.21+ † | December 30, 2020 Amendment to Project Work Order with Amarex Clinical Research LLC. | Form 10-K (Exhibit 10.78) | 3/31/2021 | 001-27072 |
| 10.22 | December 23, 2020 Amendment to Master Service Agreement with Pharmaceutics International Inc. as a Fill & Finish provider for Ampligen | Form 10-K (Exhibit 10.79) | 3/31/2021 | 001-27072 |
| 10.23 | March 24, 2021 employment agreement with Peter Rodino* | Form 10-K (Exhibit 10.80) | 3/31/2021 | 001-27072 |
| 10.24+ † | Material Transfer and Research agreement with Roswell Park Comprehensive Cancer Center executed on April 14, 2021 | Form 10-Q (Exhibit 10.2) | 5/17/21 | 001-27072 |
| 10.25+ † | May 12, 2021 Amendment to the Renewed Sales, Marketing, Distribution and Supply Agreement with GP Pharm. | Form 10-Q (Exhibit 10.5) | 5/17/21 | 001-27072 |
| 10.26+ † | March 1, 2022 Consulting Agreement with Foresite Advisors, LLC pursuant to which Robert Dickey IV will serve as the Company’s Chief Financial Officer* | Form 10-K (Exhibit 10.78) | 3/31/2022 | 001-27072 |
| 10.27 | March 8, 2022 Change order to Master Service Agreement with Pharmaceutics International Inc. as a Fill & Finish provider for Ampligen. | Form 10-K (Exhibit 10.82) | 3/31/2022 | 001-27072 |
| 10.28+ † | April 7, 2022 Project Work Order with Amarex Clinical Research LLC.to manage Phase 2 clinical trial in advanced pancreatic cancer patients | Form 8-K (Exhibit 10.1) | 4/12/2022 | 001-27072 |
| 10.29+ † | June 13, 2022 Project Work Order with Amarex Clinical Research LLC. for a Randomized Double Blind, Placebo Controlled study to Evaluate the Efficacy and Safety of Ampligen in Patients with Post Covid Conditions | Form 8-K (Exhibit 10.1) | 6/17/2022 | 001-27072 |
| 10.30 | June 16, 2022 Lease agreement entered into with New Jersey Economic Development Authority for 5,210 square-foot R&D facility at the New Jersey Bioscience Center | Form 8-K (Exhibit 10.1) | 6/21/2022 | 001-27072 |
| 10.31 | October 5, 2022 Lease extension for Riverton office | Form 10-Q (Exhibit 10.4) | 11/14/2022 | 001-27072 |
| 10.32+ † | October 11, 2022 Material Transfer and Research Agreement with University of Pittsburgh | Form 10-Q (Exhibit 10.5) | 11/14/2022 | 001-27072 |
| 10.33+ † | October 21, 2022 Material Transfer and Research Agreement with University of Pittsburgh | Form 10-Q (Exhibit 10.6) | 11/14/2022 | 001-27072 |
| 10.34 | December 5, 2022 Master Service Agreement between Sterling Pharma Solutions Limited and AIM ImmunoTech Inc. | Form 10-K (Exhibit 10.93) | 3/31/23 | 001-27072 |
| 10.35+ † | January 13, 2023 Study Support Agreement with Erasmus University Medical Center Rotterdam | Form 10-K (Exhibit 10.94) | 3/31/2023 | 001-27072 |
| 10.36+ † | January 13, 2023 Co-ordination Agreement with Erasmus University Medical Center Rotterdam and AstraZeneca BV | Form 10-K (Exhibit 10.95) | 3/31/2023 | 001-27072 |
| 10.37 | March 1, 2023 Extension Agreement with Foresite Advisors LLC* | Form 10-K (Exhibit 10.96) | 3/31/2023 | 001-27072 |
| 10.38 | April 4, 2023 Unrestricted Grant Agreement with Erasmus University Medical Center | Form 8-K (Exhibit 10.1) | 4/7/2023 | 001-27072 |
| 10.39 | April 5, 2023 Independent Contractor Service Agreement with Casper H.J van Eijck | Form 8-K (Exhibit 10.2) | 4/7/2023 | 001-27072 |
| 10.40 | April 19, 2023 Equity Distribution Agreement with Maxim Group, LLC | Form 8-K (Exhibit 10.1) | 4/19/2023 | 001-27072 |
| 10.41+ † | Material Transfer and Research Agreement, dated as of May 22, 2023, with Japanese National Institute of Infectious Disease † | Form 8-K (Exhibit 10.1) | 5/30/2023 | 001-27072 |
| 10.42 | September 20, 2023 Amended and Restated Material Transfer and Research Agreement with Roswell Park Cancer Institute Corporation d/b/a Roswell Park Comprehensive Cancer Center | Form 8-K (Exhibit 10.1) | 9/29/2023 | 001-27072 |
| 10.43 | February 16, 2024 Note Purchase Agreement with Streeterville Capital LLC | Form 8-K (Exhibit 10.1) | 2/20/2024 | 001-27072 |
| 10.44 | February 16, 2024 Promissory Note with Streeterville Capital LLC | Form 8-K (Exhibit 10.2) | 2/20/2024 | 001-27072 |
| 10.47 | October 4, 2023 Lease extension for Riverton office | Form S-1 (Exhibit 10.106) | 4/19/2024 | 001-27072 |
| 10.48 | March 15, 2024 Addendum 1 to Lease for Ocala office | Form S-1 (Exhibit 10.107) | 4/16/2024 | 001-27072 |
| 10.49 | Form of Securities Purchase Agreement, dated as of May 31, 2024, by and among the Company and a Purchaser | Form 8-K (Exhibit 10.1) | 6/3/2024 | 001-27072 |
| 10.50 | August 12, 2024 Amendment to Employment Agreement for Thomas K Equels* | Form 10-Q (Exhibit 10.4) | 8/14/2024 | 001-27072 |
| 10.51 | August 12, 2024 Amendment to Employment Agreement for Peter W Rodino III* | Form 10-Q (Exhibit 10.5) | 8/14/2024 | 001-27072 |
| 10.52 | September 11, 2024 Amendment to Employment Agreement for Thomas K Equels* | Form 8-K (Exhibit 10.1) | 9/12/2024 | 001-27072 |
| 10.53 | September 11, 2024 Amendment to Employment Agreement for Peter W. Rodino III* | Form 8-K (Exhibit 10.2) | 9/12/2024 | 001-27072 |
| 10.54 | September 30, 2024 Securities Purchase Agreement | Form 8-K (Exhibit 10.1) | 10/1/2024 | 001-27072 |
| 10.55 | September 30, 2024 Placement Agency Agreement with Maxim Group LLC | Form 8-K (Exhibit 1.1) | 10/1/2024 | 001-27072 |
| 10.56 | September 19, 2024 Lease extension for Riverton office | Form 10-Q (Exhibit 10.15) | 11/14/2024 | 001-27072 |
| 10.57 | Class A/B Common Stock Purchase Warrant with Armistice | Form 8-K (Exhibit 4.1) | 6/3/2024 | 001-27072 |
| 10.58 | Class C Common Stock purchase warrant with Armistice | Form 8-K (Exhibit 4.1) | 10/1/2024 | 001-27072 |
| 10.59 | Class D Common Stock Purchase Warrant with Armistice | Form 8-K (Exhibit 4.2) | 10/1/2024 | 001-27072 |
| 10.60 | Form of Lock-up Agreement | Form S-1/A (Exhibit 10.119) | 2/3/2025 | 333-284443 |
| 10.61 | Equity Distribution Agreement with Maxim dated April 1, 2025 | Form S-3 (Exhibit 10.1) | 4/1/2025 | 333-286319 |
| 10.62 | Forbearance Agreement with Streeterville Capital, LLC | Form 10-Q (Exhibit 10.1) | 5/15/2025 | 001-27072 |
| 10.63 | Agreement between Company and Messrs. Equels and Rodino dated April 1, 2025 | Form 10-Q (Exhibit 10.1) | 8/14/2025 | 001-27072 |
| 10.64 | Lease extension for Riverton office | Form 10-Q (Exhibit 10.3) | 11/17/2025 | 001-27072 |
| 10.65 | Streeterville Extension Agreement | Filed herewith | ||
| 10.67 | DPO Addendum | Filed herewith | ||
| 23.1 | Consent of BDO USA, P.C. | Filed herewith | ||
| 31.1 | Certification pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 from the Company’s Chief Executive Officer. | Filed herewith | ||
| 31.2 | Certification pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 from the Company’s Chief Financial Officer. | Filed herewith | ||
| 32.1 | Certification pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 from the Company’s Chief Executive Officer. | Filed herewith | ||
| 32.2 | Certification pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 from the Company’s Chief Financial Officer. | Filed herewith | ||
| 107 | Filing Fee Table | Form S-1 (Exhibit 107) | December 12, 2025 | 333-292085 |
- Indicates management contract or compensatory plan or arrangement.
- Schedules and exhibits to this Exhibit have been omitted pursuant to Item 601(b)(2) of Regulation S-K. The Company agrees to furnish supplementally a copy of any omitted schedule or exhibit to the SEC upon request.
† A portion of this Exhibit has been omitted as it contains information that (i) is not material and (ii) would be competitively harmful if publicly disclosed.
(b) Financial Statement Schedules
All schedules have been omitted because either they are not required, are not applicable or the information is otherwise set forth in the financial statements and related notes thereto.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.