UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
CURRENT REPORT
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Item 1.01 Entry into a Material Definitive Agreement
The following agreements, previously filed as exhibits to the Registration Statement on Form S-1 (SEC File No. 333-284443) (the Registration Statement”) by AIM ImmunoTech Inc. (the “Company”) have been revised, are superseded by and are filed herewith as Exhibits 1.1, 4.26, 4.27, 4.28 and 10.63, respectively, and are incorporated by reference herein:
the Placement Agency Agreement with Maxim Group LLC;
the form of Class E/F Warrants;
the form of Pre-Funded Warrant;
the Warrant Agency Agreement with the warrant agent; and
the Securities Purchase Agreement.
Please see these exhibits for more complete information.
Item 8.01 Other Events
On July 31, 2025, the Company announced the closing of its previously announced public offering of an aggregate of 2,000,000 shares of its common stock (or pre-funded warrants in lieu thereof), Class E warrants to purchase up to 2,000,000 shares of common stock, and Class F warrants to purchase up to 2,000,000 shares of common stock, at a combined public offering price of $4.00 per share (or $3.999 per pre-funded warrant) and accompanying warrants. The warrants will have an exercise price of $4.00 per share, and were exercisable immediately upon issuance. The Class E warrants will expire on the fifth anniversary of the original issuance date, and the Class F warrants will expire on the eighteen-month anniversary of the original issuance date. Gross proceeds, before deducting placement agent fees and offering expenses, were approximately $8.0 million. Maxim Group LLC acted as sole placement agent in connection with this offering.
For more information, please see the July 31, 2025, press release which is attached to this Current Report on Form 8-K as Exhibit 99.1 and is incorporated by reference herein.
Cautionary Statement Regarding Forward-Looking Statements
This press release contains forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995 (the “PSLRA”). Words such as “may,” “will,” “expect,” “plan,” “anticipate,” “continue,” “believe,” “potential,” “upcoming” and other variations thereon and similar expressions (as well as other words or expressions referencing future events or circumstances) are intended to identify forward-looking statements. Many of these forward-looking statements involve a number of risks and uncertainties. The Company urges investors to consider specifically the various risk factors identified in the Registration Statement, the Company’s most recent Form 10-K, and any risk factors or cautionary statements included in any subsequent Form 10-Q or Form 8-K, filed with the SEC. You are cautioned not to place undue reliance on these forward-looking statements, which speak only as of the date of this press release. Among other things, for those statements, the Company claims the protection of the safe harbor for forward-looking statements contained in the PSLRA. The Company does not undertake to update any of these forward-looking statements to reflect events or circumstances that occur after the date hereof.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits
The following exhibits are filed herewith:
Exhibit | ||
Number | Description | |
1.01 | the Placement Agency Agreement with Maxim Group LLC | |
4.26 | the form of Class E/F Warrants | |
4.27 | the form of Pre-Funded Warrant | |
4.28 | the Warrant Agency Agreement with the warrant agent | |
10.63 | Securities Purchase Agreement | |
99.1 | Press Release dated July 31, 2025 | |
104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |
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.
AIM ImmunoTech Inc. | ||
Date: July 31, 2025 | By | /s/ Thomas K. Equels |
Thomas K. Equels, CEO |