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    Aethlon Medical Inc. filed SEC Form 8-K: Submission of Matters to a Vote of Security Holders

    5/13/25 4:10:27 PM ET
    $AEMD
    Medical/Dental Instruments
    Health Care
    Get the next $AEMD alert in real time by email
    AETHLON MEDICAL, INC. 8-K
    false 0000882291 0000882291 2025-05-13 2025-05-13 iso4217:USD xbrli:shares iso4217:USD xbrli:shares

     

    UNITED STATES

    SECURITIES AND EXCHANGE COMMISSION

    Washington, D.C. 20549

     

    FORM 8-K

    CURRENT REPORT

    Pursuant to Section 13 or 15(d)

    of the Securities Exchange Act of 1934

     

    Date of Report (Date of earliest event reported): May 13, 2025

     

    Aethlon Medical, Inc.

    (Exact name of registrant as specified in its charter)

     

    Nevada 001-37487 13-3632859

    (State or other jurisdiction of incorporation)

    (Commission File Number)

    (IRS Employer Identification No.)

     

    11555 Sorrento Valley Road, Suite 203

    San Diego, California

    92121
    (Address of principal executive offices) (Zip Code)

     

    Registrant’s telephone number, including area code: (619) 941-0360

     

    N/A

    (Former name or former address, if changed since last report)

     

    Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

     

    ☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

     

    ☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

     

    ☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

     

    ☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

     

    Securities registered pursuant to Section 12(b) of the Act:

    Title of each class

    Trading Symbol(s)

    Name of each exchange on which registered

    Common Stock, $0.001 par value per share

    AEMD The Nasdaq Capital Market

     

    Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).

     

    Emerging growth company ☐

     

    If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

     

     

     

       

     

     

    Item 5.07 Submission of Matters to a Vote of Security Holders.

     

    On May 13, 2025, Aethlon Medical, Inc. (the “Company”) held a Special Meeting of Stockholders (the “Special Meeting”) in a virtual format. At the close of business on March 27, 2025, the record date for the Special Meeting, there were 16,061,096 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 Special Meeting, 6,227,778 of the Company’s 16,061,096 shares of common stock entitled to vote as of the record date, or approximately 38.78%, were represented by proxy or in person (virtually), and, therefore, a quorum was present.

     

    The proposals voted on at the Special Meeting are more fully described in the Company’s Definitive Proxy Statement on Schedule 14A (the “Proxy Statement”) filed by the Company with the Securities and Exchange Commission on April 18, 2025, which information is incorporated herein by reference.

     

    The final voting results on the proposals presented for stockholder approval at the Special Meeting were as follows:

     

    Proposal No. 1: To approve, pursuant to Nevada Revised Statutes 78.2055, a reverse stock split of our common stock at a ratio in the range of 1-for-5 to 1-for-12, with such ratio to be determined in the discretion of our Board of Directors and with such reverse stock split to be effected at such time and date as determined by our Board of Directors in its sole discretion (but in no event later than May 13, 2026):

     

    Votes For   Votes Against   Abstentions   Broker Non-Votes
    3,493,733   2,645,768   88,277   –

     

     

    Proposal No. 2: To approve the issuance of shares of common stock upon exercise of the warrants to purchase common stock (the “Inducement Warrants”) issued in a private placement, and to approve the Reset of Exercise Price provision contained in the Inducement Warrants:

     

     

    Votes For   Votes Against   Abstentions   Broker Non-Votes
    941,724   186,801   20,721   –

     

     

    Proposal No. 3: To approve the adjournment of the Special Meeting to another place, or a later date or dates, if necessary or appropriate, to solicit additional proxies in the event we have not received sufficient votes in favor of any of the foregoing proposals:

     

     

    Votes For  

    Votes Against

      Abstentions   Broker Non-Votes
    5,083,490   1,064,163   80,125   –

     

    Although Proposal No. 3 was approved by the Company’s stockholders, the chair of the Special Meeting did not elect to adjourn the meeting, as all of the foregoing proposals were also approved.

     

     

     2 

     

     

    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: May 13, 2025 Aethlon Medical, Inc.
         
      By: /s/ James B. Frakes
     

    Name:

     

    James B. Frakes

    Chief Executive Officer and Chief Financial Officer

     

     

     

     

     

     

     

     

     

     

     

     

     

     3 

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