Aethlon Medical Files 8-K: Director/Officer Changes & More

TL;DR

Aethlon Medical filed an 8-K for Sept 27th covering exec changes, board elections, and financials.

AI Summary

Aethlon Medical, Inc. filed an 8-K on October 2, 2024, reporting on events as of September 27, 2024. The filing covers the departure of directors or certain officers, election of directors, appointment of certain officers, submission of matters to a vote of security holders, and financial statements/exhibits. Specific details regarding these events, including names, dollar amounts, and precise dates of changes, are not fully elaborated in the provided text.

Why It Matters

This 8-K filing indicates significant corporate governance and operational updates for Aethlon Medical, Inc., which could impact its strategic direction and investor confidence.

Risk Assessment

Risk Level: medium — The filing indicates potential shifts in leadership and corporate structure, which can introduce uncertainty.

Key Players & Entities

• Aethlon Medical, Inc. (company) — Registrant
• Nevada (jurisdiction) — State of incorporation
• September 27, 2024 (date) — Earliest event reported date
• October 2, 2024 (date) — Date of report

FAQ

Key Financial Figures

• $0.001 — ange on which registered Common Stock, $0.001 par value per share AEMD The Nasdaq

Filing Documents

• aethlon_8k.htm (8-K) — 41KB
• aethlon_ex1001.htm (EX-10.1) — 386KB
• 0001683168-24-006850.txt ( ) — 666KB
• aemd-20240927.xsd (EX-101.SCH) — 3KB
• aemd-20240927_lab.xml (EX-101.LAB) — 33KB
• aemd-20240927_pre.xml (EX-101.PRE) — 22KB
• aethlon_8k_htm.xml (XML) — 4KB

02 Departure of Directors or Certain

Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. As described in Item 5.07 below, on September 27, 2024, at the 2024 Annual Meeting of Stockholders (the "Annual Meeting") of Aethlon Medical, Inc. (the "Company"), the Company's stockholders approved an amendment (the "Plan Amendment") to the Company's 2020 Equity Incentive Plan, as amended (the "2020 Plan"), to increase the number of shares of common stock authorized for issuance thereunder by 3,000,000 shares. The Plan Amendment was previously approved by the Board of Directors (the "Board") of the Company, subject to stockholder approval, on August 6, 2024. The Plan Amendment became effective on September 27, 2024 following receipt of stockholder approval. The 2020 Plan, as amended to reflect the Plan Amendment, is herein referred to as the "Amended 2020 Plan." Additional information regarding the Plan Amendment and the terms of the Amended 2020 Plan is set forth in the Company's Definitive Proxy Statement on Schedule 14A (the "Proxy Statement") filed by the Company with the Securities and Exchange Commission on August 15, 2024, which information is incorporated herein by reference. Such information and the foregoing description of the Plan Amendment and the Amended 2020 Plan do not purport to be complete and are qualified in their entirety by reference to the full text of the Amended 2020 Plan, a copy of which is attached to this Current Report on Form 8-K as Exhibit 10.1 and is incorporated herein by reference.

07 Submission of Matters to a Vote

Item 5.07 Submission of Matters to a Vote of Security Holders. On September 27, 2024, the Company held the Annual Meeting in a virtual format. At the close of business on August 6, 2024, the record date for the Annual Meeting, there were 13,937,327 shares of Company common stock issued and outstanding, which constituted all of the issued and outstanding capital stock of the Company as of the record date. At the Annual Meeting, 5,037,309 of the Company's 13,937,327 shares of common stock entitled to vote as of the record date, or approximately 36.14%, were represented by proxy or in person (virtually), and, therefore, a quorum was present. The proposals voted on at the Annual Meeting are more fully described in the Proxy Statement. The final voting results on the proposals presented for stockholder approval at the Annual Meeting were as follows: Proposal No. 1: The Company's stockholders elected five directors, each to hold office until the Company's next annual meeting of stockholders, or until their successors are duly elected and qualified, subject to prior death, resignation, or removal, as follows: Name Votes For Votes Against Abstentions Edward G. Broenniman 2,900,492 164,979 88,069 James B. Frakes 2,892,782 172,892 87,886 Nicolas Gikakis 2,911,958 157,439 84,143 Angela Rossetti 2,908,371 157,596 87,573 Chetan S. Shah, MD 2,906,936 159,056 87,548 Proposal No. 2: The Company's stockholders ratified the appointment of Haskell & White LLP as the Company's independent registered public accounting firm for the fiscal year ending March 31, 2025, as follows: Votes For Votes Against Abstentions 4,699,408 163,731 174,170 2 Proposal No. 3: The Company's stockholders approved the Plan Amendment and the Amended 2020 plan, as follows: Votes For Votes Against Abstentions 2,745,223 376,961 31,356 Proposal No. 4: The Company's stockholders approved, on a non-binding advisory basis, the compensation of the Company's named

01 Financial Statements

Item 9.01 Financial Statements and Exhibits. (d) Exhibits Exhibit Number Description 10.1 Aethlon Medical, Inc. 2020 Equity Incentive Plan, as amended to date, Form of Restricted Stock Grant, Form of Option Grant and Agreement. 104 Cover Page Interactive Data File (embedded within the inline XBRL Document) 3

SIGNATURES

SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. Date: October 2, 2024 Aethlon Medical, Inc. By: /s/ James B. Frakes Name: James B. Frakes Interim Chief Executive Officer and Chief Financial Officer 4

View Full Filing

View this 8-K filing on SEC EDGAR