UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
CURRENT REPORT
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of the Securities Exchange Act of 1934
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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
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| Item 5.07 |
Submission of Matters to a Vote of Security Holders.
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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.
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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.
| Aethlon Medical, Inc. | ||||||
| Dated: September 16, 2021 | By: | /s/ James B. Frakes | ||||
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James B. Frakes Chief Financial Officer | ||||||
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