Company: AEMD
Filing Date: 2025-06-26
Form Type: 10-K
Source: 0001683168-25-004780
Chunk: 1462

Company: AETHLON MEDICAL INC
Filing Date: 2025-06-26
Form: 10-K
Item: Item 9B
Chunk 1462
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 where applicable, except where otherwise noted.

Unless otherwise indicated,
the address for each person listed in the table below is c/o Aethlon Medical, Inc., 11555 Sorrento Valley Road, Suite 203, San Diego,
CA 92121.

    NAME OF BENEFICIAL OWNER 
    NUMBER OF SHARES BENEFICIALLY OWNED(1)  
    PERCENT OF SHARES BENEFICIALLY OWNED(2) 
  
    Greater than 5% Stockholders 

    Armistice Capital, LLC 
     180,758(3) 
     7% 
  
    Ikarian Capital, LLC 
     153,660(4) 
     6% 
  
    Directors and Named Executive Officers 

    James B. Frakes, Chief Executive Officer, Chief Financial Officer and Director 
     2,805(5) 
     * 
  
    Edward G. Broenniman, Chairman and Director 
     4,887(6) 
     * 
  
    Chetan S. Shah, M.D., Director 
     3,923(7) 
     * 
  
    Angela Rossetti, Director 
     6,208(8) 
     * 
  
    Steven P. LaRosa, M.D., Chief Medical Officer 
     2,552(9) 
     * 
  
    Nicolas Gikakis, Director 
     3,569(10) 
     – 
  
    All Current Directors and Executive Officers as a Group (6 members) 
     23,944  
     9% 

____________________

    *
    Less than 1%

    (1)
    Calculated pursuant to Rule 13d-3(d)(1) of the Exchange Act. Under Rule 13d-3(d)(1), shares not outstanding that are subject to options, warrants, rights or conversion privileges exercisable by a person within 60 days are deemed outstanding for the purpose of calculating the number and percentage owned by such person but not deemed outstanding for the purpose of calculating the percentage owned by each other person listed.

    (2)
    Based on 2,585,316 shares of common stock outstanding as of March 31, 2025,
as adjusted for the 1-for-8 reverse stock split effective as of the close of business on June 6, 2025 with an effective trading date of
June 9, 202