AIM ImmunoTech Inc.
For the period ended Sep 30, 2026. Filed Nov 12, 2026.
View on SEC.govAbout this filing
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, 2026 · Filed Nov 12, 2026
What changed in Risk Factors?
Read the current filingPrevious report: 10-Q
Period ended 2026-06-30; filed 2026-08-07.
0001493152-26-036609
Item 1A. Risk FactorsCurrent report: 10-Q
Period ended 2026-09-30; filed 2026-11-12.
0001493152-26-051439
Item 1A. Risk FactorsThe baseline is this issuer’s latest earlier reporting period of the same form that was filed before the current report. A previous 10-Q is a different quarter, not a year-over-year comparison. Amendments are excluded.
Compared 6 previous paragraphs and 11 current paragraphs.
4 unchanged; 1 reworded; 6 added; 1 removed; 0 previous and 0 current paragraphs rearranged.
Tables are not compared: 0 previous and 0 current tables excluded. Dates, whitespace, punctuation and numbering changes are ignored; changes to financial figures remain significant.
A changed paragraph is not evidence that risk increased or decreased. An unchanged paragraph does not establish that risk stayed the same.
Added paragraphs (6)
Current report
We may again fail to satisfy the continued listing standards of the NYSE American, and our common stock could be suspended from trading or delisted.
Current report
Our common stock is listed on the NYSE American. To maintain our listing we are required, among other things, to maintain stockholders’ equity of $6.0 million or more, and the NYSE American may suspend trading in, or delist, a security that sells at what it considers a low selling price, which the Exchange generally considers to be $0.10 per share. Although the NYSE American notified us on June 12, 2026 that we had resolved our prior deficiencies, as of September 30, 2026 our stockholders’ equity was $7.1 million, we continue to incur net losses, and on November 11, 2026, the closing price of our common stock on the NYSE American was $0.15 per share. If we again fail to satisfy the continued listing standards, our common stock could be suspended from trading and delisted, which would reduce the liquidity and market price of our common stock and materially impair our ability to raise additional capital. See “Compliance with NYSE American” in Part I, Item 2 of this Report.
Current report
During the quarter ended September 30, 2026, we issued the following equity securities that were not registered under the Securities Act of 1933, as amended (the “Securities Act”), and that were not previously reported in a Current Report on Form 8-K:
Current report
On August 6, 2026, we issued an aggregate of 962,278 shares of common stock to Streeterville Capital, LLC pursuant to two exchange agreements, in exchange for the reduction of approximately $250,000 of the outstanding balance of the Promissory Note dated February 16, 2024.
Current report
On September 22, 2026, we issued 715,990 shares of common stock to Streeterville Capital, LLC pursuant to an exchange agreement, in exchange for the reduction of approximately $150,000 of the outstanding balance of the Promissory Note dated November 18, 2025.
Current report
The shares described above were issued in reliance on the exemption from registration provided by Section 3(a)(9) of the Securities Act, as securities exchanged by the Company with its existing security holder exclusively where no commission or other remuneration was paid or given directly or indirectly for soliciting such exchange.
Removed paragraphs (1)
Reworded paragraphs (1)
Previous wording
During the six months ended June 30, 2026, we completed multiple equity transactions, including a rights offering, inducement transactions, and registered direct offerings, which raised aggregate gross proceeds of approximately $10.4 million. These transactions resulted in the issuance of a substantial number of shares of common stock, preferred stock, and warrants. As of June 30, 2026, we had approximately 48.5 million warrants outstanding with various exercise prices. If all outstanding warrants are exercised, existing stockholders would experience significant dilution. Additionally, the exercise of these warrants or the sale of shares issuable upon exercise could depress the market price of our common stock. We may need to raise additional capital in the future, which could result in further dilution to stockholders.
Current wording
During the nine months ended September 30, 2026, we completed multiple equity transactions, including a rights offering, inducement transactions, and registered direct offerings, which raised aggregate gross proceeds of approximately $10.4 million. These transactions resulted in the issuance of a substantial number of shares of common stock, preferred stock, and warrants. As of September 30, 2026, we had outstanding warrants to purchase approximately 47.4 million shares of our common stock with various exercise prices and outstanding shares of Series G Convertible Preferred Stock convertible into 521,000 shares of our common stock. If all outstanding warrants are exercised and all outstanding Series G Convertible Preferred Stock is converted, existing stockholders would experience significant dilution. Additionally, the exercise of these warrants or the sale of shares issuable upon exercise could depress the market price of our common stock. We may need to raise additional capital in the future, which could result in further dilution to stockholders.