AETHLON MEDICAL INC
For the period ended Sep 30, 2024. Filed Nov 13, 2024.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Sep 30, 2024 · Filed Nov 13, 2024
AEMD$5.49+0.4%Stored close · as of Nov 9, 2026
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Item 6. EXHIBITS
(a) Exhibits. The following documents are filed as part of this report:
| Incorporated by Reference | ||||||
|---|---|---|---|---|---|---|
| Exhibit Number | Exhibit Description | Form | SEC File No. | Exhibit Number | Date | Filed Herewith |
| 3.1 | Articles of Incorporation, as amended. | 8-K | 001-37487 | 3.1 | September 19, 2022 | |
| 3.2 | Amended and Restated Bylaws of the Company. | 8-K | 001-37487 | 3.1 | September 12, 2019 | |
| 4.1 | Form of Common Stock Certificate. | S-1 | 333-201334 | 4.1 | December 31, 2014 | |
| 4.2 | Form of Warrant to Purchase Common Stock. | S-1/A | 333-234712 | 4.14 | December 11, 2019 | |
| 4.3 | Form of Underwriter Warrant. | S-1/A | 333-234712 | 4.15 | December 11, 2019 | |
| 4.4 | Form of Common Stock Purchase Warrant. | 8-K | 001-37487 | 4.1 | January 17, 2020 | |
| 4.5 | Form of Class A Warrant to Purchase Common Stock, issued on May 17, 2024. | 8-K | 001-37487 | 4.1 | May 17, 2024 | |
| 4.6 | Form of Class B Warrant to Purchase Common Stock, issued on May 17, 2024. | 8-K | 001-37487 | 4.2 | May 17, 2024 | |
| 4.7 | Form of Pre-Funded Warrant to Purchase Common Stock, issued on May 17, 2024. | 8-K | 001-37487 | 4.3 | May 17, 2024 | |
| 10.1 | Form of Securities Purchase Agreement. | S-1/A | 333-278188 | 10.20 | May 13, 2024 | |
| 10.2 | Aethlon Medical, Inc. 2020 Equity Incentive Plan, as amended to date, Form of Restricted Stock Grant, Form of Option Grant and Agreement. | 8-K | 001-37487 | 10.1 | October 2, 2024 | |
| 31.1 | Certification of the Principal Executive Officer and Principal Financial Officer pursuant to Rule 13a-14(a) or 15d-14(a) of the Securities Exchange Act of 1934. | X | ||||
| 32.1^ | Certification of the Principal Executive Officer and Principal Financial Officer pursuant to 18 U.S.C. Section 1350. | X | ||||
| 101.INS* | Inline XBRL Instance Document with Embeded Linkbase Documents | X | ||||
| 101.SCH* | Inline XBRL Taxonomy Extension Schema Document | X | ||||
| 104* | Cover Page Interactive Data File (formatted in XBRL, and included in exhibit 101) | |||||
| ^ | The information in Exhibit 32.1 shall not be deemed “filed” for purposes of Section 18 of the Exchange Act, or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act or the Exchange Act (including this Quarterly Report), unless the Registrant specifically incorporates the foregoing information into those documents by reference. |
|---|---|
| * | The XBRL related information in Exhibit 101 shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to liability of that section and shall not be incorporated by reference into any filing or other document pursuant to the Securities Act of 1933, as amended, except as shall be expressly set forth by specific reference in such filing or document. |
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