Aethlon Medical completed a registered public offering priced at $0.71 per share and accompanying warrant, entering a Securities Purchase Agreement with investors and a Placement Agency Agreement with Maxim Group. The transaction included 263,000 common shares, common and pre-funded warrants totaling up to 11,003,018 underlying shares, and yielded approximately $4.0 million in gross proceeds and about $3.335 million in net proceeds. Common warrants carry a $0.71 exercise price, exercisable upon stockholder approval or immediately if pricing conditions are met. The company agreed to a 90-day issuance lock-up, a one-year restriction on variable-rate deals without Maxim's consent, and 90-day lock-ups by officers and directors.
Agreement 1: Aethlon Medical Prices $4.0 Million Registered Offering at $0.71 With Warrants
- Agreement type: Securities Purchase Agreement for registered equity offering with warrants
- Counterparty: Certain investors
- Signed / Effective: Jul 06 2026 / Jul 07 2026
- Duration / Termination: At will
- Reason: Raise working capital for general corporate purposes
Agreement 2: Aethlon Medical Engages Maxim Group as Placement Agent for $4.0 Million Offering
- Agreement type: Placement Agency Agreement for registered offering
- Counterparty: Maxim Group
- Signed / Effective: Jul 06 2026 / Jul 06 2026
- Duration / Termination: At will
- Reason: Facilitate capital raise through a public offering
Original SEC Filing:
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