AETHLON MEDICAL INC
For the period ended Sep 30, 2026. Filed Nov 12, 2026.
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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, 2026 · Filed Nov 12, 2026
AEMD$5.58+0.9%Stored close · as of Nov 12, 2026
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Item 6. EXHIBITS
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(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 | |||||
| 2.1 | Agreement and Plan of Merger and Reorganization, dated September 17, 2026, among Aethlon Medical, Inc., North Immunology, Inc., Nighthawk Merger Sub Corp. and Nighthawk Second Merger Sub, LLC | 8-K | 0001-37487 | 2.1 | September 17, 2026 |
| 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 Change pursuant to NRS 78.209 | 8-K | 001-37487 | 3.1 | October 16, 2025 |
| 3.4 | Certificate of Change pursuant to NRS 78.209 | 8-K | 001-37487 | 3.1 | July 31, 2026 |
| 3.5 | Certificate of Amendment of Incorporation | 8-K | 001-37487 | 3.1 | October 9, 2026 |
| 4.1 | Form of Warrant to Purchase Common Stock | 8-K | 001-37487 | 4.1 | July 8, 2026 | |
| 4.2 | Form of Placement Agent Warrant | 8-K | 001-37487 | 4.3 | July 8, 2026 | |
| 4.3 | Form of Pre-Funded Warrant | 8-K | 001-37487 | 4.2 | July 8, 2026 | |
| 4.4 | Form of Pre-Funded Warrants (North Financing) | 8-K | 001-37487 | 4.1 | September 17, 2026 | |
| 10.1 | Securities Purchase Agreement, dated July 6, 2026 | 8-K | 001-37487 | 10.1 | July 8, 2026 | |
| 10.2 | Placement Agency Agreement, dated July 6, 2026 | 8-K | 001-37487 | 10.2 | July 8, 2026 | |
| 10.3 | Amendment No. 2 to Executive Employment Agreement dated September 11, 2026 with James B. Frakes | 8-K | 001-37487 | 10.1 | September 15, 2026 | |
| 10.4 | Amendment No. 1 to Executive Employment Agreement, dated September 11, 2026 with Steven P. LaRosa, M.D. | 8-K | 001-37487 | 10.2 | September 15, 2026 | |
| 10.5 | Form of Parent Stockholder Support Agreement | 8-K | 001-37487 | 10.2 | September 17, 2026 | |
| 10.6 | Form of Subscription Agreement | 8-K | 001-37487 | 10.4 | September 17, 2026 | |
| 10.7 | Form of Contingent Value Rights Agreement | 8-K | 001-37487 | 10.5 | September 17, 2026 | |
| 10.8 | Aethlon Medical, Inc. 2020 Equity Incentive Plan, as amended | 8-K | 001-37487 | 10.1 | October 1, 2026 | |
| 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 Embedded 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. |
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