0001683168-26-005003 Sample Contracts
SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • June 22nd, 2026 • Aethlon Medical Inc • Surgical & medical instruments & apparatus • New York
This Securities Purchase Agreement (this “Agreement”) is dated as of June [-], 2026 between Aethlon Medical, Inc., a Nevada corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”).
COMMON STOCK PURCHASE WARRANT AETHLON MEDICAL, Inc.Common Stock Purchase Warrant • June 22nd, 2026 • Aethlon Medical Inc • Surgical & medical instruments & apparatus • New York
THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, _____________ or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after [-], 2026 (the “Initial Exercise Date”) and on or prior to 5:00 p.m. (New York City time) on [-], 2030 (the “Termination Date”) but not thereafter, to subscribe for and purchase from Aethlon Medical, Inc., a Nevada corporation (the “Company”), up to ______ shares (as subject to adjustment hereunder, the “Warrant Shares”) of Common Stock. The purchase price of one share of Common Stock under this Warrant shall be equal to the Exercise Price, as defined in Section 2(b). This Warrant shall initially be issued and maintained in the form of a security held in book-entry form and the Depository Trust Company or its nominee (“DTC”) shall initially be the sole registered holder of this Warrant, subject to a Holder’s right to elect
FORM OF PRE-FUNDED COMMON STOCK PURCHASE WARRANT Aethlon medical, inc.Pre-Funded Common Stock Purchase Warrant • June 22nd, 2026 • Aethlon Medical Inc • Surgical & medical instruments & apparatus
THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, _____________ or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof (the “Initial Exercise Date”) and until this Warrant is exercised in full (the “Termination Date”) but not thereafter, to subscribe for and purchase from aethlon medical, inc., a Nevada corporation (the “Company”), up to [ ] shares (as subject to adjustment hereunder, the “Warrant Shares”) of Common Stock. The purchase price of one share of Common Stock under this Warrant shall be equal to the Exercise Price, as defined in Section 2(b). This Warrant shall be issued and maintained in paper certificate form. “Warrant Agent” means the Transfer Agent and any successor warrant agent of the Company.
CONFIDENTIAL June [-], 2026Placement Agent Agreement • June 22nd, 2026 • Aethlon Medical Inc • Surgical & medical instruments & apparatus • New York
This agreement (the “Agreement”) constitutes the agreement between Aethlon Medical, Inc., a Nevada corporation (the “Company”), and Maxim Group LLC (“Maxim” or the “Lead Manager”), that Maxim shall serve as the exclusive lead placement agent for the Company, on a “reasonable best efforts” basis (a “Placement”), in connection with the proposed offerings of securities (the “Securities”) of the Company. The terms of such Placement and the Securities shall be mutually agreed upon by the Company and the Lead Manager and, if a direct placement, the purchasers (each, a “Purchaser” and collectively, the “Purchasers”) and nothing herein grants Maxim the power or authority to bind the Company or any Purchaser or creates an obligation for the Company to issue any Securities or complete the Placement. This Agreement and the documents executed and delivered by the Company and the Purchasers in connection with the Placement shall be collectively referred to herein as the “Transaction Documents.” The
Lock-Up AgreementLock-Up Agreement • June 22nd, 2026 • Aethlon Medical Inc • Surgical & medical instruments & apparatus
The undersigned understands that you, as the placement agent (the “Placement Agent”), propose to enter into a Placement Agent Agreement (the “PAA”) with Aethlon Medical, Inc., a Nevada corporation (the “Company”), relating to a proposed offering of securities of the Company (the “Offering”) including shares of the Common Stock, par value $0.001 per share (the “Common Stock”). Capitalized terms used herein and not otherwise defined shall have the meanings set forth in the PAA.
AETHLON MEDICAL, INC. and COMPUTERSHARE INC. and COMPUTERSHARE TRUST COMPANY, N.A. as Warrant Agent Warrant Agency Agreement Dated as of June [_], 2026 WARRANT AGENCY AGREEMENTWarrant Agency Agreement • June 22nd, 2026 • Aethlon Medical Inc • Surgical & medical instruments & apparatus • New York
WARRANT AGENCY AGREEMENT, dated as of June [_], 2026 (“Agreement”), by and between Aethlon Medical, Inc., a Nevada corporation (the “Company”), and Computershare Inc., a Delaware corporation (“Computershare Inc.”) and its affiliate, Computershare Trust Company, N.A., a federally chartered trust company (“Computershare Trust”), (collectively, the “Warrant Agent”).