This filing is routine and non-material. The more significant event is the upcoming annual meeting (Oct 1, 2026) with proposals for massive dilution — monitor the proxy vote outcome and any subsequent dilutive financing.
Price Chart
Executive Summary
Aethlon Medical amended the employment agreements of its CEO/CFO and CMO to convert severance and COBRA payments from installments to single lump sums upon a Change in Control. This is a routine administrative change that does not alter the amount or eligibility for severance, and has no material financial impact on the company. The filing is neutral, though it follows a recent proxy filing proposing massive potential dilution (10x authorized share increase) for this $2M market cap company.
Key Facts
- Amendments to CEO/CFO James B. Frakes and CMO Steven P. LaRosa employment agreements dated September 11, 2026.
- Severance payments and COBRA continuation payments will be paid in a single lump sum upon a Change in Control, instead of installments.
- The amendments do not change the amount, calculation, or eligibility conditions for severance benefits.
- A Change in Control is defined as a merger where pre-transaction stockholders own <50% of voting power, or a sale of all/substantially all assets.
- The filing follows a DEFA14A (filed Sept 4, 2026) that includes proposals for a 10x increase in authorized common shares (20M to 200M) and authorization of 20M preferred shares.
Financial Impact
No financial impact — the amendments change the timing of severance payments (lump sum vs. installments) but not the amount.
Risk Factors
- The amendments are contingent on a Change in Control, which is not imminent and may never occur.
- The company has a $2M market cap and faces potential massive dilution from the authorized share increase proposal at the upcoming annual meeting.
Market Snapshot
Investment Themes
Documents Analyzed
This report is based on 6 SEC documents filed with EDGAR.
| Document | Accession Number |
|---|---|
| 8-K Filing (Primary) | 0001683168-26-007126 |
| Document: aethlon_ex1001.htm | 0001683168-26-007126 |
| Document: aethlon_ex1002.htm | 0001683168-26-007126 |
| Document: 0001683168-26-007126-index-headers.html | 0001683168-26-007126 |
| Document: 0001683168-26-007126-index.html | 0001683168-26-007126 |
| Document: 0001683168-26-007126.txt | 0001683168-26-007126 |
Filters
| Type | Now | ||||
|---|---|---|---|---|---|
Oct 13, 2026 14d ago | SC 13G | $5.05 $5.07 | ▲ +0.40% | ▼ −0.06% | $5.07 (+0.40%) |
Oct 1, 2026 26d ago | 8-K | $6.45 $6.05 | ▲ +6.20% | ▲ +7.36% | $5.07 (+21.40%) |
Sep 17, 2026 5w ago | 425 | $6.78 $6.77 | ▼ −0.15% | ▼ −0.75% | $5.07 (−25.22%) |
Sep 17, 2026 5w ago | 8-K | $6.78 $6.77 | ▼ −0.15% | ▼ −0.75% | $5.07 (−25.22%) |
Sep 15, 2026 6w ago | 8-K | $1.47 $6.31 | ▲ +329.25% | ▲ +328.43% | $5.07 (+244.90%) |
Sep 4, 2026 7w ago | DEFA14A | $1.81 $1.47 | ▲ +18.78% | ▲ +17.67% | $5.07 (−180.11%) |
Aug 31, 2026 8w ago | 8-K | $2.06 $1.81 | ▼ −12.14% | ▼ −11.99% | $5.07 (+146.12%) |
Aug 13, 2026 10w ago | Press Release | $2.83 $2.73 | ▼ −3.53% | ▼ −2.17% | $5.07 (+79.15%) |
Jul 31, 2026 12w ago | 8-K | $0.6628 $0.6300 | ▲ +4.95% | ▲ +8.46% | $5.07 (−664.94%) |
Jul 7, 2026 16w ago | EFFECT | $0.7297 $0.6850 | ▲ +6.13% | ▲ +6.68% | $5.07 (−594.81%) |
US Market Status
Subscribe to SecBot
Get Real-Time SEC Filing Intelligence
Comprehensive SEC filing analysis delivered the moment filings hit EDGAR. Sentiment scoring, impact analysis, and actionable insights for every material event.
Create a free account Live analysis, Telegram alerts, watchlists and the MCP server for subscribers