Aethlon Medical Files S-1 Registration Statement

TL;DR

<b>Aethlon Medical, Inc. has filed an S-1 registration statement with the SEC on March 22, 2024.</b>

AI Summary

AETHLON MEDICAL INC (AEMD) filed a IPO Registration (S-1) with the SEC on March 22, 2024. Aethlon Medical, Inc. filed a Form S-1 registration statement with the SEC. The filing was made on March 22, 2024. The company's principal executive offices are located at 11555 Sorrento Valley Road, Suite 203, San Diego, CA 92121. The company was incorporated in Nevada. The filing is for a registration statement under the Securities Act of 1933.

Why It Matters

For investors and stakeholders tracking AETHLON MEDICAL INC, this filing contains several important signals. This S-1 filing indicates Aethlon Medical is preparing to offer securities to the public, which could signal a significant corporate event or financing round. The filing provides detailed information about the company's business, financial condition, and management, allowing investors to assess potential risks and opportunities.

Risk Assessment

Risk Level: low — AETHLON MEDICAL INC shows low risk based on this filing. The filing is a standard S-1 registration statement, which is a preliminary step for public offerings and does not inherently contain negative financial or operational news.

Analyst Insight

Monitor Aethlon Medical for further updates regarding the public offering detailed in this S-1 filing, including pricing and effective dates.

Key Numbers

• 333-278188 — SEC File Number (Aethlon Medical, Inc. S-1 Filing)
• 13-3632859 — IRS Number (Aethlon Medical, Inc.)
• 0331 — Fiscal Year End (Aethlon Medical, Inc.)

Key Players & Entities

• Aethlon Medical, Inc. (company) — Registrant
• SEC (regulator) — Securities and Exchange Commission
• James B. Frakes (person) — Interim Chief Executive Officer
• Cooley LLP (company) — Legal counsel
• Pryor Cashman LLP (company) — Legal counsel
• Nevada (company) — State of incorporation

FAQ

Industry Context

Aethlon Medical, Inc. operates in the medical instruments and apparatus industry, focusing on developing and commercializing technologies for the treatment of life-threatening diseases.

Regulatory Implications

The S-1 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 filing for detailed financial statements and risk factors.
2. Track Aethlon Medical's subsequent filings for updates on the proposed public offering.
3. Analyze the company's business strategy and market position as described in the S-1.

Key Dates

• 2024-03-22: Filing Date — Submission of Form S-1 registration statement

Year-Over-Year Comparison

This is a new S-1 filing, so there is no prior filing of this type to compare against for this specific registration event.

Key Financial Figures

• $0.001 — up to shares of common stock, par value $0.001 per share ("common stock"), and an acco
• $0 — d to the public in this offering, minus $0.001, and the exercise price of each pre
• $1.66 — stock on The Nasdaq Capital Market was $1.66 per share. i The public offering pri

Filing Documents

• aethlon_s1.htm (S-1) — 329KB
• aethlon_ex2301.htm (EX-23.1) — 2KB
• aethlon_ex107.htm (EX-FILING FEES) — 22KB
• image_001.jpg (GRAPHIC) — 4KB
• 0001683168-24-001638.txt (&nbsp;) — 590KB
• aemd-20240322.xsd (EX-101.SCH) — 3KB
• aemd-20240322_lab.xml (EX-101.LAB) — 34KB
• aemd-20240322_pre.xml (EX-101.PRE) — 22KB
• aethlon_s1_htm.xml (XML) — 3KB

Risk Factors

Risk Factors 6 Special Note Regarding Forward-Looking Statements 9

Use of Proceeds

Use of Proceeds 10

Description of Capital Stock

Description of Capital Stock 13 Description of The Securities We Are Offering 15 Plan of Distribution 18 Legal Matters 24 Experts 24 Market and Industry Data 24 Where You Can Find Additional Information 24 Incorporation of Certain Information by Reference 25 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 filing on SEC EDGAR