Form 8-K AETHLON MEDICAL INC For: Sep 15
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SECURITIES AND EXCHANGE COMMISSION
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):
(Exact name of registrant as specified in its charter)
|(State or other jurisdiction||(Commission File Number)||(IRS Employer Identification No.)|
|(Address of principal executive offices)||(Zip Code)|
Registrant’s telephone number, including
(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|
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. ☐
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|
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
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