Company: AEMD
Filing Date: 2025-06-26
Form Type: 10-K
Source: 0001683168-25-004780
Chunk: 378

Company: AETHLON MEDICAL INC
Filing Date: 2025-06-26
Form: 10-K
Item: Item 1B
Chunk 378
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(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, 2025.

    (3)
    Armistice Capital, LLC ("Armistice Capital") is the investment manager of Armistice Capital Master Fund Ltd. (the "Master Fund"), the direct holder of the Shares, and pursuant to an Investment Management Agreement, Armistice Capital exercises voting and investment power over the securities of the Issuer held by the Master Fund and thus may be deemed to beneficially own the securities of the