Form: POS AM

Post-effective amendment to a registration statement that is not immediately effective upon filing

May 15, 2024

Registration No. 333-278188

 

As filed with the Securities and Exchange Commission on May 15, 2024

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

 

Post-effective Amendment No. 1

To

FORM S-1

REGISTRATION STATEMENT

UNDER

THE SECURITIES ACT OF 1933

 

 

 

Aethlon Medical, Inc.

(Exact name of registrant as specified in its charter)

 

 

 

Nevada   3826   13-3632859

(State or other jurisdiction of

incorporation or organization)

 

(Primary Standard Industrial

Classification Code Number)

 

(I.R.S. Employer

Identification Number)

 

11555 Sorrento Valley Road, Suite 203

San Diego, CA 92121

(619) 941-0360

(Address, including zip code, and telephone number, including area code, of registrant’s principal executive offices)

 

 

 

James B. Frakes

Interim Chief Executive Officer

Aethlon Medical, Inc.

11555 Sorrento Valley Road, Suite 203

San Diego, CA 92121

(619) 941-0360

(Name, address, including zip code, and telephone number, including area code, of agent for service)

 

 

 

 

Copies to:

     

Julie Robinson

Wade Andrews

Cooley LLP

10265 Science Center Drive

San Diego, CA 92121

(858) 550-6000

 

M. Ali Panjwani

Pryor Cashman LLP

7 Times Square

New York, NY 10036-6569

Telephone: (212) 326-0846

Fax: (212) 326-0806

 

 

 

Approximate date of commencement of proposed sale to the public: As soon as practicable after the effective date of this registration statement.

If any of the securities being registered on this Form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act of 1933, check the following box.

 

If this Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering.  

 

If this Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering.  

 

If this Form is a post-effective amendment filed pursuant to Rule 462(d) under the Securities Act, check the following box and list the Securities Act registration number of the earlier effective registration statement for the same offering.   333-278188

 

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.  

 

 

 

The Registration Statement shall become effective upon filing in accordance with Rule 462(d) promulgated under the Securities Act of 1933, as amended.

 

 

 

 

     

 

 

EXPLANATORY NOTE

 

This Post-Effective Amendment No. 1 (“Amendment No. 1”) to the Registration Statement on Form S-1, as amended (File No. 333-278188), declared effective by the Securities and Exchange Commission on May 15, 2024 (“Registration Statement”), is being filed solely for the purpose of replacing Exhibits 5.1 and 5.2 to the Registration Statement. This Amendment No. 1 does not modify any provision of Part I or Part II of the Registration Statement other than Item 16(a) of Part II as set forth below.

 

 

 

 

 

 

 

 

 

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PART II

INFORMATION NOT REQUIRED IN PROSPECTUS

 

Item 16. Exhibits and Financial Statement Schedules.

 

(a) Exhibits

 

EXHIBIT INDEX

 

 

Exhibit

Number

  Exhibit Description   Form   SEC File No.   Exhibit
No.
  Date   Filed
Herewith
5.1   Opinion of Brownstein Hyatt Farber Schreck, LLP.             X
                   
5.2   Opinion of Cooley LLP.             X
                   
23.1   Consent of Brownstein Hyatt Farber Schreck, LLP (included in Exhibit 5.1).             X
                   
23.2   Consent of Cooley LLP (included in Exhibit 5.2).             X
                   
24.1*   Power of Attorney (included on the signature page of the Registration Statement on Form S-1 (File No. 333-278188), as amended, filed with the Commission on March 22, 2024 and incorporated herein by reference).              

__________________

  *   Previously filed.

 

 

 

 

 

 

 

 

 

 

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SIGNATURES

 

Pursuant to the requirements of the Securities Act, the Registrant has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in San Diego, California, on the 15th day of May, 2024.

 

 
AETHLON MEDICAL, INC.
   
       
  By: /s/ JAMES B. FRAKES  
    James B. Frakes  
    Interim Chief Executive Officer  
    Chief Financial Officer  
    Chief Accounting Officer  
         

 

Pursuant to the requirements of the Securities Act, this Registration Statement has been signed by the following persons in the capacities and on the dates indicated.

         
Name   Title   Date
     

/s/ JAMES B. FRAKES

James B. Frakes

 

Interim Chief Executive Officer

Chief Financial Officer

Chief Accounting Officer and Director

  May 15, 2024
     

/s/ EDWARD G. BROENNIMAN*

Edward G. Broenniman

  Chairman and Director   May 15, 2024
     

/s/ NICOLAS GIKAKIS*

Nicolas Gikakis

  Director   May 15, 2024
     

/s/ ANGELA ROSSETTI*

Angela Rossetti

  Director   May 15, 2024
     

/s/ CHETAN S. SHAH*

Chetan S. Shah, M.D.

  Director   May 15, 2024
     
* Pursuant to power of attorney    

 

By: /s/ JAMES B. FRAKES  
  James B. Frakes  
  Attorney in fact  

 

 

 

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