S-8: Initial registration statement for securities to be offered to employees pursuant to employee benefit plans
Published on September 19, 2022
As filed with the Securities and Exchange Commission on September 19, 2022
Registration No. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM S-8
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
Aethlon Medical, Inc.
(Exact name of registrant as specified in its charter)
Nevada | 13-3632859 | |
(State or other jurisdiction of incorporation or organization) |
(I.R.S. Employer Identification No.) |
|
11555 Sorrento Valley Road, Suite 203, San Diego, California | 92121 | |
(Address of Principal Executive Offices) | (Zip Code) |
Aethlon Medical, Inc. 2020 Equity Incentive Plan
(Full title of the plan)
James B. Frakes
11555 Sorrento Valley Road, Suite 203
San Diego,
California 92121
(858) 459 -7800
(Name, address, including zip code, and telephone number, including area code, of agent for service)
Copies to:
Julie Robinson
Cooley LLP
4401 Eastgate Mall
San Diego, California 92121
(858) 550-6000
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.
Large accelerated filer | ☐ | Accelerated filer | ☐ | |||
Non-accelerated filer | ☒ | Smaller reporting company | ☒ | |||
Emerging growth company | ☐ |
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 7(a)(2)(B) of the Securities Act. ☐
INCORPORATION OF DOCUMENTS BY REFERENCE
This Registration Statement is being filed for the purpose of increasing the number of securities of the same class as other securities for which a Registration Statement of the Registrant on Form S-8 relating to the same employee benefit plan is effective.
The Registrant previously registered shares of its Common Stock for issuance under the Aethlon Medical, Inc. 2020 Equity Incentive Plan under a Registration Statement on Form S-8 filed with the Securities and Exchange Commission (“SEC”) on September 15, 2020 (File No. 333-248820). Pursuant to General Instruction E to Form S-8, this Registration Statement hereby incorporates by reference the contents of the Registration Statement referenced above.
ITEM 8. | EXHIBITS |
Incorporated by Reference | ||||||||||||||
Exhibit Number |
Exhibit Description | Form | SEC File No. | Exhibit Number |
Date | Filed Herewith |
||||||||
4.1 | Articles of Incorporation, as amended. | 8-K | 001-37487 | 3.1 | September 19, 2022 | |||||||||
4.2 | Amended and Restated Bylaws. | 8-K | 001-37487 | 3.1 | September 12, 2019 | |||||||||
5.1 | Opinion of Brownstein Hyatt Farber Schreck, LLP. | X | ||||||||||||
23.1 | Consent of Baker Tilly US, LLP, Independent Registered Public Accounting Firm. | X | ||||||||||||
23.2 | Consent of Brownstein Hyatt Farber Schreck, LLP (included in Exhibit 5.1). | X | ||||||||||||
24.1 | Power of Attorney (included on signature page hereto). | X | ||||||||||||
99.1 | Aethlon Medical, Inc. 2020 Equity Incentive Plan, as amended, Form of Restricted Stock Grant, Form of Option Grant and Agreement. | 8-K | 001-37487 | 99.1 | September 19, 2022 | |||||||||
107 | Filing Fee Table | X |
2 |
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, as amended, the Registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of San Diego, State of California, on September 19, 2022.
Aethlon Medical, Inc. | ||
By: | /s/ James B. Frakes | |
James B. Frakes Chief Financial Officer Chief Accounting Officer |
POWER OF ATTORNEY
KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Charles J. Fisher, Jr., MD and James B. Frakes, and each of them, as his or her true and lawful attorneys-in-fact and agents, each with the full power of substitution, for him or her and in his or her name, place or stead, in any and all capacities, to sign any and all amendments to this Registration Statement (including post-effective amendments), and to file the same, with all exhibits thereto and other documents in connection therewith, with the Securities and Exchange Commission, granting unto said attorneys-in-fact and agents, and each of them, full power and authority to do and perform each and every act and thing requisite and necessary to be done in and about the premises, as fully to all intents and purposes as he or she might or could do in person, hereby ratifying and confirming all that said attorneys-in-fact and agents, or their or his or her substitute or substitutes, may lawfully do or cause to be done by virtue hereof.
Pursuant to the requirements of the Securities Act of 1933, as amended, this Registration Statement has been signed by the following persons in the capacities and on the dates indicated.
Signature |
Title |
Date |
||
/s/ Charles J. Fisher, Jr., MD Charles J. Fisher, Jr., MD |
Chief Executive Officer and Director (Principal Executive Officer) |
September 19, 2022 | ||
/s/ James B. Frakes James B. Frakes |
Chief Financial Officer (Principal Accounting and Financial Officer) |
September 19, 2022 | ||
/s/ Edward G. Broenniman Edward G. Broenniman |
Chairman of the Board, Director | September 19, 2022 | ||
/s/ Guy F. Cipriani Guy F. Cipriani |
SVP and Chief Business Officer and Director | September 19, 2022 | ||
/s/ Chetan Shah, MD Chetan Shah, MD |
Director | September 19, 2022 | ||
/s/ Angela Rossetti Angela Rossetti |
Director | September 19, 2022 | ||
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