AETHLON MEDICAL INC
For the period ended Mar 31, 2026. Filed Jun 10, 2026.
View on SEC.govAbout this filing
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.
FY2026 · Filed Jun 10, 2026
AEMD$5.55+1.1%Stored close · as of Nov 10, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 15. Exhibits and Financial Statement Schedules
The following documents are filed as part of this Annual Report:
(a)(1) Financial Statements.
The response to this portion of Item 15 is set forth under Part II, Item 8 above.
(a)(2) Financial Statement Schedules.
All schedules have been omitted because they are not required or because the required information is given in the Financial Statements or Notes thereto set forth under Item 8 above.
(a)(3) Exhibits required by Item 601 of Regulation S-K.
| Incorporated by Reference | ||||||
|---|---|---|---|---|---|---|
| Exhibit Number | Exhibit Description | Form | SEC File No. | Exhibit No. | 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 | |
| 3.3 | Certificate of Amendment to Articles of Incorporation | 8-K | 001-37487 | 3.1 | February 23, 2026 | |
| 4.1 | Form of Common Stock Certificate | S-1 | 333-201334 | 4.1 | December 31, 2014 | |
| 4.2 | Form of Warrant Agency Agreement with Computershare | S-1/A | 001-37487 | 4.13 | August 29, 2025 | |
| 4.3 | Form of Common Warrant issued December 5, 2025 | 8-K | 001-37487 | 4.1 | December 8, 2025 | |
| 4.4 | Form of Pre-Funded Warrant issued December 5, 2025 | 8-K | 001-37487 | 4.2 | December 8, 2025 | |
| 4.5 | Amendment to Pre-Funded Warrant | 8-K | 001-37487 | 10.2 | January 26, 2026 | |
| 4.9 | Description of Aethlon Medical, Inc.’s Securities | X | ||||
| 4.10 | Form of New Warrant to purchase Common Stock issued on March 17, 2025 | 8-K | 001-37487 | 4.1 | March 17, 2025 | |
| 10.1++ | Aethlon Medical, Inc. Amended and Restated Non-Employee Director Compensation Policy, as Modified on February 10, 2022 | 10-Q | 001-37487 | 10.2 | February 14, 2022 | |
| Incorporated by Reference | |||||
|---|---|---|---|---|---|
| Exhibit Number · Exhibit Description · Form · SEC File No. · Exhibit No. · Date · Filed Herewith | |||||
| 10.2++ | Employment Agreement, by and between Aethlon Medical, Inc. and James Frakes, dated December 12, 2018 | 10-Q | 001-37487 | 10.3 | February 11, 2019 |
| 10.3++ | Amendment No. 1 to Executive Employment Agreement, effective as of November 7, 2023, by and between the Company and James B. Frakes | 8-K | 001-37487 | 10.1 | December 22, 2023 |
| 10.4++ | Form of Indemnification Agreement for Officers and Directors | 10-Q | 001-37487 | 10.4 | February 11, 2019 |
| 10.5++ | Form of Option Grant Agreement for Officers and Directors | 10-Q | 001-37487 | 10.5 | February 11, 2019 |
| 10.6++ | Form of Restricted Stock Unit Grant Notice and Restricted Stock Unit Agreement for Directors | 10-Q | 001-37487 | 10.6 | February 11, 2019 |
| 10.7++ | Form of Restricted Stock Unit Grant Notice and Restricted Stock Unit Agreement for Executives | 10-Q | 001-37487 | 10.7 | February 11, 2019 |
| 10.8 | Assignment Agreement, by and between Aethlon Medical, Inc. and London Health Sciences Center Research Inc., dated November 7, 2006 | S-1 | 001-37487 | 10.27 | November 15, 2019 |
| 10.9++ | Aethlon Medical, Inc. 2020 Equity Incentive Plan as amended, Form of Restricted Stock Grant, Form of Option Grant and Agreement | 8-K | 001-37487 | 10.1 | October 2, 2024 |
| 10.10++ | Employment Agreement between the Company and Dr. Fisher, dated October 30, 2020 | 8-K | 001-37487 | 10.2 | November 3, 2020 |
| 10.11++ | Separation Agreement between the Company and Dr. Fisher, effective as of November 27, 2023 | 8-K | 001-37487 | 10.1 | November 27, 2023 |
| 10.12 | Lease, by and between the Company and San Diego Inspire 1, LLC. and San Diego Inspire 2, LLC, effective December 7, 2020 | 10-Q | 001-37487 | 10.3 | February 10, 2021 |
| 10.13++ | Executive Employment Agreement between the Company and Guy Cipriani, dated January 1, 2021 | 10-Q | 001-37487 | 10.5 | February 10, 2021 |
| 10.14++ | Amendment No. 1 to Executive Employment Agreement, effective as of November 7, 2023, by and between the Company and Guy F. Cipriani | 8-K | 001-37487 | 10.2 | December 22, 2023 |
| 10.15++ | Executive Employment Agreement between the Company and Steven P. LaRosa, MD, dated January 4, 2021 | 10-Q | 001-37487 | 10.6 | February 10, 2021 |
| Incorporated by Reference | ||||||
|---|---|---|---|---|---|---|
| Exhibit Number | Exhibit Description | Form | SEC File No. | Exhibit No. | Date | Filed Herewith |
| 10.16++ | Executive Employment Agreement, by and between Aethlon Medical, Inc. and Lee D. Arnold, Ph.D., dated February 1, 2023 | 10-Q | 001-37487 | 10.1 | February 13, 2023 | |
| 10.17 | Lease between Aethlon Medical, Inc. and San Diego Inspire 5, LLC, effective October 27, 2021 | 10-Q | 001-37487 | 10.1 | November 9, 2021 | |
| 10.18 | At the Market Offering Agreement, dated March 24, 2022, by and between Aethlon Medical, Inc. and H.C. Wainwright & Co., LLC | 8-K | 001-37487 | 1.1 | March 24, 2022 | |
| 10.19++ | Amendment No. 1 to Executive Employment Agreement, by and between Aethlon Medical, Inc. and Lee D. Arnold, Ph.D., dated May 1, 2023 | 10-K | 001-37487 | 10.18 | June 28, 2023 | |
| 10.20++ | Amendment No. 1 to Executive Employment Agreement, by and between Aethlon Medical, Inc. and Lee D. Arnold, Ph.D., dated May 1, 2023 | 10-K | 001-37487 | 10.18 | June 28, 2023 | |
| 10.21 | Form of Inducement Letter dated March 17, 2025 | 8-K | 001-37487 | 10.1 | March 17, 2025 | |
| 10.22 | Securities Purchase Agreement issued September 4, 2025 | 8-K | 001-37487 | 10.1 | September 9, 2025 | |
| 10.23 | Placement Agency Agreement dated September 4, 2025 | 8-K | 001-37487 | 10.2 | September 9, 2025 | |
| 10.24 | Placement Agency Agreement dated December 5, 2025 | 8-K | 001-37487 | 1.1 | December 8, 2025 | |
| 10.25 | Form of Registration Rights Agreement dated December 5, 2025 | 8-K | 001-37487 | 10.2 | December 8, 2025 | |
| 10.26 | Form of Warrant Inducement Agreement (December 5, 2025) | 8-K | 001-37487 | 10.3 | December 8, 2025 | |
| 10.27 | Form of Securities Purchase Agreement between the Company and purchaser signatory thereto | 8-K | 001-37487 | 10.1 | December 8, 2025 | |
| 10.28 | Amendment to Securities Purchase Agreement between the Company and the purchaser signatory thereto | 8-K | 001-37487 | 10.1 | January 26, 2026 | |
| 19.1 | Insider Trading Policy | 10-K | 001-37487 | 19.1 | June 26, 2025 | |
| 21.1 | List of Subsidiaries | 10-K | 001-37487 | 21.1 | June 26, 2025 | |
| 23.1 | Consent of Haskell & White LLP, Independent Registered Public Accounting Firm | X | ||||
| Incorporated by Reference | ||||||
|---|---|---|---|---|---|---|
| Exhibit Number | Exhibit Description | Form | SEC File No. | Exhibit No. | Date | Filed Herewith |
| 24.1 · Power of Attorney (see signature page) · X | ||||||
| 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 Rule 13a-14(b) or 15d-14(b) of the Exchange Act and 18 U.S.C. Section 1350 · X | ||||||
| 97.1 | Incentive Compensation Recoupment Policy | 10-K | 001-37487 | 97.1 | June 26, 2025 | |
| 101.INS | Inline XBRL Instance Document (the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document) | X | ||||
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document | X | ||||
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document | X | ||||
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document | X | ||||
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document | X | ||||
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document | X | ||||
| 104 | Cover Page Interactive Data File (formatted in IXBRL, and included in exhibit 101) | X | ||||
| ++ | Indicates management contract or compensatory plan. |
| * | 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 Annual Report), unless the Registrant specifically incorporates the foregoing information into those documents by reference. |
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.