SEC Info - Aethlon Medical Inc. - ‘8-K’ for 9/29/22

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Aethlon Medical Inc. – ‘8-K’ for 9/29/22

On: Thursday, 9/29/22, at 4:19pm ET · For: 9/29/22 · Accession #: 1683168-22-6679 · File #: 1-37487

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 9/29/22  Aethlon Medical Inc.              8-K:8,9     9/29/22   11:210K                                   GlobalOne Filings Inc/FA

Current Report — Form 8-K

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     27K 
 2: EX-5.1      Opinion of Brownstein Hyatt Farber Schreck, LLP     HTML     14K 
 6: R1          Cover                                               HTML     47K 
 9: XML         IDEA XML File -- Filing Summary                      XML     12K 
 7: XML         XBRL Instance -- aethlon_8k_htm                      XML     15K 
 8: EXCEL       IDEA Workbook of Financial Reports                  XLSX      8K 
 4: EX-101.LAB  XBRL Labels -- aemd-20220929_lab                     XML     96K 
 5: EX-101.PRE  XBRL Presentations -- aemd-20220929_pre              XML     64K 
 3: EX-101.SCH  XBRL Schema -- aemd-20220929                         XSD     12K 
10: JSON        XBRL Instance as JSON Data -- MetaLinks               25±    33K 
11: ZIP         XBRL Zipped Folder -- 0001683168-22-006679-xbrl      Zip     20K

‘8-K’ — Current Report

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

FORM i 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): i September 29, 2022

i AETHLON MEDICAL, INC.

(Exact name of Registrant as Specified in Its Charter)

i Nevada

i 001-37487

i 13-3632859

(State or Other Jurisdiction

of Incorporation)

(Commission

File Number)

(IRS Employer

Identification No.)

i 11555 Sorrento Valley Road, i Suite 203

i San Diego, i California

i 92121

(Address of Principal Executive Offices)

(Zip Code)

Registrant’s Telephone Number, Including Area Code: ( i 619) i 941-0360

N/A

(Former Name or Former Address, if Changed Since Last Report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

i ☐	Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

i ☐	Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

i ☐	Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

i ☐	Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

Title of each class	Trading Symbol(s)	Name of each exchange on which registered
i Common Stock, $0.001 par value per share	i AEMD	The i Nasdaq Capital Market

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 i ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

Item 8.01 Other Events.

Aethlon Medical, Inc. (the “Company”) has filed a prospectus supplement (the “ATM Prospectus Supplement”) to its effective U.S. registration statement on Form S-3 (File No. 333-259909) in connection with its At the Market Offering Agreement with H.C. Wainwright & Co., LLC dated March 24, 2022. Pursuant to the ATM Prospectus Supplement, the Company may, at its discretion from time to time, sell up to an additional $6,625,000 of common shares under its “at the market” program.

Item 9.01 Financial Statements and Exhibits.

(d) Exhibits.

Exhibit No.

Description

5.1

23.1

104

Opinion of Brownstein Hyatt Farber Schreck, LLP.

Consent of Brownstein Hyatt Farber Schreck, LLP (contained in Exhibit 5.1).

Cover Page Interactive Data File (embedded within the Inline XBRL document).

C: 2

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.

Date: September 29, 2022	By:	/s/ *James B. Frakes*
		James B. Frakes Chief Financial Officer

Dates Referenced Herein and Documents Incorporated by Reference

This ‘8-K’ Filing	Date	Other Filings

Filed on / For Period end:	9/29/22	424B5, 8-K
	3/24/22	424B5, 8-K
		List all Filings

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Filing Submission 0001683168-22-006679 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)