Form 8-K - Current report
06 Julio 2023 - 3:15PM
Edgar (US Regulatory)
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported):
July 3, 2023
AETHLON
MEDICAL, INC.
(Exact name of Registrant as Specified in Its
Charter)
Nevada |
001-37487 |
13-3632859 |
(State or Other Jurisdiction of
Incorporation) |
(Commission File Number) |
(IRS Employer Identification No.) |
|
|
11555
Sorrento Valley Road, Suite
203
San Diego, California |
92121 |
(Address of Principal Executive Offices) |
(Zip Code) |
Registrant’s Telephone Number, Including
Area Code: (619) 941-0360
N/A
(Former Name or Former Address, if Changed Since
Last Report)
Check the appropriate box below if the Form 8-K filing is intended
to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2.
below):
☐ |
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
☐ |
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
☐ |
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
☐ |
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Act:
Title of each class |
Trading Symbol(s) |
Name of each exchange on which registered |
Common Stock, $0.001 par value per share |
AEMD |
The Nasdaq Capital Market |
Indicate by check mark whether the registrant is an emerging growth
company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange
Act of 1934 (§ 240.12b-2 of this chapter).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant
has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant
to Section 13(a) of the Exchange Act. ☐
Item 5.02 |
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. |
(d)
On July 3, 2023, the
Board of Directors (the “Board”) of Aethlon Medical, Inc. (the “Company”), upon recommendation of the Nominating
and Corporate Governance Committee of the Board (the “Nominating Committee”), appointed Nicolas Gikakis as (i) a member
of the Board, and (ii) a member of the Nominating Committee.
From 2021 to May 2023,
Mr. Gikakis served as the Head of Commercial for WearOptimo Pty Ltd, a private Australian medical device and digital health company. Previously,
from 2017 to 2019, Mr. Gikakis was Vice President of Strategy and Corporate Development at Oventus Medical Limited, a private medical
device company, during which time he assisted with the commercial expansion of its sleep apnea device. From 2012 to 2021, Mr. Gikakis
held various leadership and independent strategic advisor positions in the healthcare industry in sales, marketing, product development,
and corporate development and transactions, including for companies working with blood filtration and purification. Mr. Gikakis earned
a BS in bioengineering from the University of Pennsylvania and holds an MBA from George Mason University, with earlier work in bench and
clinical research, and clinical experience at the University of Pennsylvania.
There are no arrangements
or understandings between Mr. Gikakis and any other person pursuant to which he was selected as a director. In addition, there are no
transactions in which Mr. Gikakis has an interest that would require disclosure under Item 404(a) of Regulation S-K.
Pursuant to the Company’s
Amended and Restated Non-Employee Director Compensation Policy (the “Compensation Policy”), Mr. Gikakis (i) will
receive an (a) annual cash retainer of $40,000 for his service on the Board, and (b) an additional annual cash retainer of $5,000
for his service as a member of the Nominating Committee, and (ii) was granted, on the date of his appointment to the Board, restricted
stock units for 195,414 shares of the Company’s common stock under the Company’s 2020 Equity Incentive Plan, as amended (the
“Plan”), which will vest in equal quarterly installments over one year from the date of grant, in each case subject to Mr.
Gikakis’s Continuous Service (as defined in the Plan) as of each such vesting date. The Compensation Policy also provides for further
annual grants to its independent directors, at the beginning of each fiscal year, of restricted stock units with a grant date fair value
of $50,000 or, at the option of the Board, options to purchase shares of the Company’s common stock, subject to vesting as determined
by the Board. Mr. Gikakis has also entered into the Company’s standard form of indemnification agreement for directors.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934,
the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Date: July 6, 2023 |
Aethlon Medical, Inc. |
|
|
|
|
|
|
|
By: |
|
/s/ James B. Frakes |
|
Name:
|
|
James B. Frakes
Chief Financial Officer |
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Jul. 03, 2023 |
Cover [Abstract] |
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Document Period End Date |
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|
Entity File Number |
001-37487
|
Entity Registrant Name |
AETHLON
MEDICAL, INC.
|
Entity Central Index Key |
0000882291
|
Entity Tax Identification Number |
13-3632859
|
Entity Incorporation, State or Country Code |
NV
|
Entity Address, Address Line One |
11555
Sorrento Valley Road
|
Entity Address, Address Line Two |
Suite
203
|
Entity Address, City or Town |
San Diego
|
Entity Address, State or Province |
CA
|
Entity Address, Postal Zip Code |
92121
|
City Area Code |
619
|
Local Phone Number |
941-0360
|
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Title of 12(b) Security |
Common Stock, $0.001 par value per share
|
Trading Symbol |
AEMD
|
Security Exchange Name |
NASDAQ
|
Entity Emerging Growth Company |
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