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Washington, D.C. 20549





Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934


Date of Report (Date of earliest event reported): September 15, 2021


Aethlon Medical, Inc.

(Exact name of registrant as specified in its charter)


Nevada   001-37487   13-3632859
(State or other jurisdiction   (Commission File Number)   (IRS Employer Identification No.)
of incorporation)        

11555 Sorrento Valley Road, Suite 203

San Diego, California

(Address of principal executive offices)   (Zip Code)

Registrant’s telephone number, including area code: 858-459-7800


9635 Granite Ridge Drive, Suite 100, San Diego, California

(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 Name of each exchange on which registered
Common Stock 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 5.07

Submission of Matters to a Vote of Security Holders.


On September 15, 2021, Aethlon Medical, Inc. (the “Company”) held its virtual 2021 Annual Meeting of Stockholders (the “Annual Meeting”). At the Annual Meeting, the Company’s stockholders considered the two proposals listed below, each of which was described in the Proxy Statement. The voting results are set forth below.


Proposal 1. Elect five members of the Board of Directors. All of the nominees were elected.


Name Votes For Votes Against Abstentions Broker Non-Votes
Edward G. Broenniman 7,480,266 143,135 19,459 2,506,013
Guy F. Cipriani 7,372,780 250,178 19,902 2,506,013
Charles J. Fisher, Jr., M.D. 7,523,207 110,123 9,530 2,506,013
Sabrina Martucci Johnson 7,283,551 339,156 20,153 2,506,013
Chetan S. Shah, M.D. 7,512,445 116,097 14,318 2,506,013


Proposal 2. Ratify the appointment of Baker Tilly US, LLP as the Company’s independent registered public accounting firm for its fiscal year ending March 31, 2022. The resolution was approved.


Votes For Votes Against Abstentions Broker Non-Votes
10,105,396 35,971 7,506 2,506,013


No adjournment of the Annual Meeting was necessary.








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.


        Aethlon Medical, Inc.
Dated: September 16, 2021       By:   /s/ James B. Frakes

James B. Frakes

Chief Financial Officer