Aethlon Medical Files Amendment 3 to S-1 Registration Statement

TL;DR

<b>Aethlon Medical, Inc. has filed an amendment to its S-1 registration statement, indicating ongoing efforts to comply with SEC regulations for public offerings.</b>

AI Summary

AETHLON MEDICAL INC (AEMD) filed a Amended IPO Registration (S-1/A) with the SEC on May 13, 2024. Aethlon Medical, Inc. filed Amendment No. 3 to its Form S-1/A registration statement with the SEC on May 13, 2024. The filing is related to the Securities Act of 1933. The company's principal executive offices are located at 11555 Sorrento Valley Road, Suite 203, San Diego, CA 92121. The company was formerly known as Bishop Equities Inc. and changed its name on June 2, 1993. The registration statement is for Aethlon Medical, Inc., incorporated in Nevada.

Why It Matters

For investors and stakeholders tracking AETHLON MEDICAL INC, this filing contains several important signals. This amendment suggests Aethlon Medical is actively working towards a public offering or other securities-related transactions, requiring updated disclosures. The filing provides essential information for potential investors and regulatory bodies regarding the company's structure, location, and legal status.

Risk Assessment

Risk Level: low — AETHLON MEDICAL INC shows low risk based on this filing. The filing is an amendment to a registration statement, which is a standard procedural step and does not inherently indicate significant new risks or positive developments.

Analyst Insight

Monitor future filings for details on the proposed offering, including the number of shares, pricing, and use of proceeds.

Key Numbers

• 333-278188 — SEC File Number (Registration Statement)
• 0000882291 — Central Index Key (Filer identification)
• 13-3632859 — I.R.S. Employer Identification Number (Company tax identification)
• 0331 — Fiscal Year End (Company's fiscal year)

Key Players & Entities

• Aethlon Medical, Inc. (company) — Registrant
• James B. Frakes (person) — Interim Chief Executive Officer
• Bishop Equities Inc. (company) — Former company name
• Nevada (jurisdiction) — State of incorporation
• San Diego (location) — City of principal executive offices
• 11555 Sorrento Valley Road, Suite 203 (address) — Principal executive offices
• 19930602 (date) — Date of name change
• 20240513 (date) — Filing date

FAQ

Industry Context

Aethlon Medical operates in the medical instruments and apparatus industry, focusing on developing and commercializing proprietary medical technologies.

Regulatory Implications

The filing is made under the Securities Act of 1933, which governs the registration of securities offered to the public in the United States.

What Investors Should Do

1. Review the full S-1/A filing for detailed information on the company's business, financials, and risk factors.
2. Track subsequent amendments or filings for updates on the registration statement's effectiveness and any proposed offering details.
3. Research Aethlon Medical's current market position and competitive landscape within the medical technology sector.

Key Dates

• 2024-05-13: Filing of Amendment No. 3 to Form S-1/A — Indicates ongoing regulatory compliance and potential progress towards a securities offering.
• 1993-06-02: Date of Name Change from Bishop Equities Inc. — Historical information about the company's identity.

Year-Over-Year Comparison

This is an amendment to a previously filed S-1 registration statement. Specific changes from the prior version are not detailed in this header information.

Key Financial Figures

• $0.001 — 9,661 shares of common stock, par value $0.001 per share ("common stock"), together wi
• $0 — d to the public in this offering, minus $0.001, and the exercise price of each pre
• $1.18 — stock on The Nasdaq Capital Market was $1.18 per share. i The public offering pri

Filing Documents

• aethlon_s1a3.htm (S-1/A) — 383KB
• aethlon_ex0406.htm (EX-4.6) — 124KB
• aethlon_ex0501.htm (EX-5.1) — 16KB
• aethlon_ex0502.htm (EX-5.2) — 14KB
• aethlon_ex1020.htm (EX-10.20) — 209KB
• aethlon_ex2301.htm (EX-23.1) — 2KB
• image_003.jpg (GRAPHIC) — 3KB
• image_001.jpg (GRAPHIC) — 4KB
• image_002.jpg (GRAPHIC) — 3KB
• 0001683168-24-003320.txt (&nbsp;) — 1010KB
• aemd-20240513.xsd (EX-101.SCH) — 3KB
• aemd-20240513_lab.xml (EX-101.LAB) — 34KB
• aemd-20240513_pre.xml (EX-101.PRE) — 22KB
• aethlon_s1a3_htm.xml (XML) — 3KB

Risk Factors

Risk Factors 6 Special Note Regarding Forward-Looking Statements 9

Use of Proceeds

Use of Proceeds 10 Executive and Director Compensation 11

Description of Capital Stock

Description of Capital Stock 17 Description of the Securities We Are Offering 19 Plan of Distribution 22 Legal Matters 28 Experts 28 Market and Industry Data 28 Where You Can Find Additional Information 28 Incorporation of Certain Information by Reference 29 We have not, and the placement agent has not, authorized anyone to provide you with information that is different from that contained in this prospectus or in any free writing prospectus we may authorize to be delivered or made available to you. We take no responsibility for, and can provide no assurance as to the reliability of, any other information that others may give you. Neither the delivery of this prospectus nor the sale of our securities means that the information contained in this prospectus or any free writing prospectus is correct after the date of this prospectus or such free writing prospectus. This prospectus is not an offer to sell or the solicitation of an offer to buy our securities in any circumstances under which the offer or solicitation is unlawful. The information contained in this prospectus is current only as of the date of this prospectus, regardless of the time of delivery of this prospectus or of any sale of our common stock or warrants. Our business, financial condition, results of operations and prospects may have changed since that date. For investors outside the United States: We have not, and the placement agent has not, taken any action that would permit this offering or possession or distribution of this prospectus in any jurisdiction where action for that purpose is required, other than in the United States. Persons outside the United States who come into possession of this prospectus must inform themselves about, and observe any restrictions relating to, the offering of the securities covered hereby and the distribution of this prospectus outside the United States. Unless otherwise indicated, information contained in this prospectus concernin

View Full Filing

View this S-1/A filing on SEC EDGAR