• Live Feeds
    • Press Releases
    • Insider Trading
    • FDA Approvals
    • Analyst Ratings
    • Insider Trading
    • SEC filings
    • Market insights
  • Analyst Ratings
  • Alerts
  • Subscriptions
  • AI Executive AssistantNEW
  • Settings
  • RSS Feeds
Quantisnow Logo
  • Live Feeds
    • Press Releases
    • Insider Trading
    • FDA Approvals
    • Analyst Ratings
    • Insider Trading
    • SEC filings
    • Market insights
  • Analyst Ratings
  • Alerts
  • Subscriptions
  • AI Executive AssistantNEW
  • Settings
  • RSS Feeds
PublishGo to AppAI Helper
    Quantisnow Logo

    © 2025 quantisnow.com
    Democratizing insights since 2022

    Services
    Live news feedsRSS FeedsAlertsPublish with Us
    Company
    AboutQuantisnow PlusContactJobsAI employees for your businessNEW
    Legal
    Terms of usePrivacy policyCookie policy

    SEC Form SC 13G/A filed

    2/22/21 9:53:48 AM ET
    $AEMD
    Medical/Dental Instruments
    Health Care
    Get the next $AEMD alert in real time by email
    SC 13G/A 1 c101211_sc13ga.htm

     

    SECURITIES AND EXCHANGE
    COMMISSION

    Washington, D.C. 20549

     

         

     

    SCHEDULE 13G

     

    (Rule 13d-102)

     

    INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT

    TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED

    PURSUANT TO § 240.13d-2.

     

    (Amendment No. 2)*

     

    AETHLON MEDICAL, INC.

    (Name of Issuer)

     

    Common Stock, par value $0.001 per share

    (Title of Class of Securities)

     

    00808Y307

    (CUSIP Number)

     

    December 31, 2020

    (Date of Event Which Requires Filing of this Statement)

     

    Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

    o Rule 13d-1(b)
       
    x Rule 13d-1(c)
       
    o Rule 13d-1(d)

     

         

     

    *The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

     

    The information required in the remainder of this cover page shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

     

         

     

      CUSIP No: 00808Y307
      (1) Names of Reporting Persons
    Iroquois Capital Management L.L.C.
      (2) Check the Appropriate Box if a Member of a Group (See Instructions)
        (a) o
        (b) o
      (3) SEC Use Only
      (4) Citizenship or Place of Organization
    Delaware

    Number of
    Shares
    Beneficially
    Owned by
    Each
    Reporting
    Person With
    (5) Sole Voting Power
    0
     
    (6)

    Shared Voting Power

     

    104,572 shares of Common Stock issuable upon exercise of Warrants

     
    (7) Sole Dispositive Power
    0
     
    (8)

    Shared Dispositive Power

     

    104,572 shares of Common Stock issuable upon exercise of Warrants

     

      (9)

    Aggregate Amount Beneficially Owned by Each Reporting Person

     

    104,572 shares of Common Stock issuable upon exercise of Warrants

      (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o
      (11) Percent of Class Represented by Amount in Row (9)
    0.86%
      (12) Type of Reporting Person (See Instructions)
    OO

     

    CUSIP No: 00808Y307
      (1) Names of Reporting Persons
    Richard Abbe
      (2) Check the Appropriate Box if a Member of a Group (See Instructions)
        (a) o
        (b) o
      (3) SEC Use Only
      (4) Citizenship or Place of Organization
    United States of America

    Number of
    Shares
    Beneficially
    Owned by
    Each
    Reporting
    Person With
    (5)

    Sole Voting Power

     

    44,598 shares of Common Stock issuable upon exercise of Warrants

     
    (6)

    Shared Voting Power

     

    104,572 shares of Common Stock issuable upon exercise of Warrants

     
    (7) Sole Dispositive Power
    44,598 shares of Common Stock issuable upon exercise of Warrants
     
    (8) Shared Dispositive Power
    104,572 shares of Common Stock issuable upon exercise of Warrants

     

      (9) Aggregate Amount Beneficially Owned by Each Reporting Person
    149,170 shares of Common Stock issuable upon exercise of Warrants
      (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o
      (11) Percent of Class Represented by Amount in Row (9)
    1.22%
      (12) Type of Reporting Person (See Instructions)
    IN; HC
     
     CUSIP No: 00808Y307
      (1) Names of Reporting Persons
    Kimberly Page
      (2) Check the Appropriate Box if a Member of a Group (See Instructions)
        (a) o
        (b) o
      (3) SEC Use Only
      (4) Citizenship or Place of Organization
    United States of America

    Number of
    Shares
    Beneficially
    Owned by
    Each
    Reporting
    Person With
    (5) Sole Voting Power
    0
     
    (6)

    Shared Voting Power

     

    104,572 shares of Common Stock issuable upon exercise of Warrants

     
    (7) Sole Dispositive Power
    0
     
    (8)

    Shared Dispositive Power

     

    104,572 shares of Common Stock issuable upon exercise of Warrants

     

      (9) Aggregate Amount Beneficially Owned by Each Reporting Person
    104,572 shares of Common Stock issuable upon exercise of Warrants
      (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o
      (11) Percent of Class Represented by Amount in Row (9)
    0.85%
      (12) Type of Reporting Person (See Instructions)
    IN
     

    CUSIP No: 00808Y307

    This Amendment No. 2 (this “Amendment”) amends the statement on Schedule 13G filed on December 18, 2019 as amended on February 14, 2020 (the “Original Schedule 13G”) with respect to the Common Stock, $0.001 par value (the “Common Stock”) of Aethlon Medical, Inc., a Nevada corporation (the “Company”). Capitalized terms used herein and not otherwise defined in this Amendment have the meanings set forth in the Original Schedule 13G. This Amendment amends and restates each of Item 4 and Item 5 in its entirety as set forth below.

     

    Item 4.       Ownership

     

    Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

     

    The information as of the date of the event which requires filing of this statement required by Items 4(a) – (c) is set forth in Rows 5 – 11 of the cover page for each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person. The percentage set forth in Row 11 of the cover page for each Reporting Person is based on 12,088,313 shares of Common Stock issued and outstanding as of October 27, 2020, as represented in the Company’s Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2020 filed with the Securities and Exchange Commission on October 28, 2020 and assumes the exercise of the Company’s reported warrants (the “Reported Warrants”).

     

    As of the date of the event which requires filing of this statement, Iroquois Master Fund Ltd. (“Iroquois Master Fund”) held Reported Warrants to purchase 104,572 shares of Common Stock and Iroquois Capital Investment Group LLC (“ICIG”) held Reported Warrants to purchase 44,598 shares of Common Stock.

     

    Mr. Abbe shares authority and responsibility for the investments made on behalf of Iroquois Master Fund with Ms. Kimberly Page, each of whom is a director of the Iroquois Master Fund. As such, Mr. Abbe and Ms. Page may each be deemed to be the beneficial owner of all shares of Common Stock underlying the Reported Warrants held by Iroquois Master Fund. Iroquois Capital is the investment advisor for Iroquois Master Fund and Mr. Abbe is the President of Iroquois Capital. Mr. Abbe has the sole authority and responsibility for the investments made on behalf of ICIG. As such, Mr. Abbe may be deemed to be the beneficial owner of all shares of Common Stock underlying the Reported Warrants held by Iroquois Master Fund and ICIG. The foregoing should not be construed in and of itself as an admission by any Reporting Person as to beneficial ownership of shares of Common Stock owned by another Reporting Person. Each of the Reporting Persons hereby disclaims any beneficial ownership of any such shares of Common Stock except to the extent of their pecuniary interest therein.

     

    Item 5.       Ownership of Five Percent or Less of a Class

     

    If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following:   x

     

    Item 10.       Certification

     

    By signing below each of the undersigned certifies that, to the best of its knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

     

    SIGNATURES

     

    After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

     

    Date: February 22, 2021

           
      IROQUOIS CAPITAL MANAGEMENT L.L.C.
           
      By:   /s/ Richard Abbe  
               Richard Abbe, President  
           
        /s/ Richard Abbe  
      Richard Abbe  
         
        /s/ Kimberly Page  
      Kimberly Page   

     

    Get the next $AEMD alert in real time by email

    Crush Q3 2025 with the Best AI Executive Assistant

    Stay ahead of the competition with Tailforce.ai - your AI-powered business intelligence partner.

    AI-Powered Inbox
    Context-aware email replies
    Strategic Decision Support
    Get Started with Tailforce.ai

    Recent Analyst Ratings for
    $AEMD

    DatePrice TargetRatingAnalyst
    7/7/2025$1.50Neutral
    H.C. Wainwright
    6/25/2021$5.00 → $9.00Buy
    HC Wainwright & Co.
    More analyst ratings

    $AEMD
    Press Releases

    Fastest customizable press release news feed in the world

    See more
    • Aethlon Medical Announces Financial Results for the Fiscal Fourth Quarter Ended March 31, 2025, and Provides Corporate Update

       Three Patients Treated in Hemopurifier® Cancer Trial; Indian Regulatory Approval Achieved; Operating Expenses Reduced; R&D Advances Support Expanded Indications Including Long COVID Conference Call to be Held Today at 4:30 p.m. ET SAN DIEGO, June 26, 2025 /PRNewswire/ -- Aethlon Medical, Inc. (the Company or Aethlon) (NASDAQ:AEMD), a medical therapeutic company focused on developing products to treat cancer and life-threatening infectious diseases, today reported financial results for its fiscal fourth quarter ended March 31, 2025, and provided an update on recent developments.  Key Fiscal 2025 Highlights First three patients treated in Hemopurifier® cancer trial at Australian sitesIndian

      6/26/25 4:15:00 PM ET
      $AEMD
      Medical/Dental Instruments
      Health Care
    • Aethlon Medical to Release Fiscal Fourth Quarter Financial Results and Host Conference Call on June 26, 2025

      SAN DIEGO, June 20, 2025 /PRNewswire/ -- Aethlon Medical, Inc. (NASDAQ:AEMD), a medical therapeutic company focused on developing products to treat cancer and life threatening infectious diseases, today announced that it will issue financial results for its fiscal fourth quarter ended March 31, 2025, at 4:15 p.m. ET on Thursday, June 26, 2025. Management will host a conference call on Thursday, June 26, 2025, at 4:30 p.m. ET to review financial results and recent corporate developments. Following management's formal remarks, there will be a question and answer session. Interested parties can register for the conference call by navigating to https://dpregister.com/sreg/10200578/ff60012c0c. P

      6/20/25 8:01:00 AM ET
      $AEMD
      Medical/Dental Instruments
      Health Care
    • Aethlon Medical Treats Second Patient in Australian Hemopurifier® Cancer Trial

      Second Patient in first cohort enrolled and treated at the Royal North Shore Hospital/University of Sydney Aethlon Advances Hemopurifier® Study in Solid Tumors Not Responding to Anti-PD-1 Antibodies SAN DIEGO, June 18, 2025 /PRNewswire/ -- Aethlon Medical, Inc. (NASDAQ:AEMD), a medical therapeutic company focused on developing products to treat cancer and life-threatening infectious diseases, today announced a significant milestone: the treatment of the second patient with the Hemopurifier in its Australian safety, feasibility and dose-finding clinical trial of the Hemopurifier. This trial is designed for patients with solid tumors who have stable or progressive disease during anti-PD-1 mon

      6/18/25 8:01:00 AM ET
      $AEMD
      Medical/Dental Instruments
      Health Care

    $AEMD
    Insider Trading

    Insider transactions reveal critical sentiment about the company from key stakeholders. See them live in this feed.

    See more
    • Director Broenniman Edward G covered exercise/tax liability with 893 shares, decreasing direct ownership by 4% to 21,825 units (SEC Form 4)

      4 - AETHLON MEDICAL INC (0000882291) (Issuer)

      7/1/25 4:03:08 PM ET
      $AEMD
      Medical/Dental Instruments
      Health Care
    • Director Shah Chetan covered exercise/tax liability with 1,786 shares, decreasing direct ownership by 8% to 19,993 units (SEC Form 4)

      4 - AETHLON MEDICAL INC (0000882291) (Issuer)

      7/1/25 4:03:05 PM ET
      $AEMD
      Medical/Dental Instruments
      Health Care
    • Director Gikakis Nicolas covered exercise/tax liability with 1,786 shares, decreasing direct ownership by 8% to 20,004 units (SEC Form 4)

      4 - AETHLON MEDICAL INC (0000882291) (Issuer)

      7/1/25 4:03:06 PM ET
      $AEMD
      Medical/Dental Instruments
      Health Care

    $AEMD
    Analyst Ratings

    Analyst ratings in real time. Analyst ratings have a very high impact on the underlying stock. See them live in this feed.

    See more
    • H.C. Wainwright resumed coverage on Aethlon Medical with a new price target

      H.C. Wainwright resumed coverage of Aethlon Medical with a rating of Neutral and set a new price target of $1.50

      7/7/25 8:15:50 AM ET
      $AEMD
      Medical/Dental Instruments
      Health Care
    • HC Wainwright & Co. reiterated coverage on Aethlon Medical with a new price target

      HC Wainwright & Co. reiterated coverage of Aethlon Medical with a rating of Buy and set a new price target of $9.00 from $5.00 previously

      6/25/21 6:10:29 AM ET
      $AEMD
      Medical/Dental Instruments
      Health Care
    • HC Wainwright & Co. initiated coverage on Aethlon Medical with a new price target

      HC Wainwright & Co. initiated coverage of Aethlon Medical with a rating of Buy and set a new price target of $5.00

      6/1/21 8:48:18 AM ET
      $AEMD
      Medical/Dental Instruments
      Health Care

    $AEMD
    SEC Filings

    See more
    • Aethlon Medical Inc. filed SEC Form 8-K: Results of Operations and Financial Condition, Regulation FD Disclosure, Financial Statements and Exhibits

      8-K - AETHLON MEDICAL INC (0000882291) (Filer)

      6/27/25 1:04:24 PM ET
      $AEMD
      Medical/Dental Instruments
      Health Care
    • SEC Form 10-K filed by Aethlon Medical Inc.

      10-K - AETHLON MEDICAL INC (0000882291) (Filer)

      6/26/25 5:10:22 PM ET
      $AEMD
      Medical/Dental Instruments
      Health Care
    • Aethlon Medical Inc. filed SEC Form 8-K: Other Events

      8-K - AETHLON MEDICAL INC (0000882291) (Filer)

      6/5/25 8:30:54 AM ET
      $AEMD
      Medical/Dental Instruments
      Health Care

    $AEMD
    Financials

    Live finance-specific insights

    See more
    • Aethlon Medical Announces Financial Results for the Fiscal Fourth Quarter Ended March 31, 2025, and Provides Corporate Update

       Three Patients Treated in Hemopurifier® Cancer Trial; Indian Regulatory Approval Achieved; Operating Expenses Reduced; R&D Advances Support Expanded Indications Including Long COVID Conference Call to be Held Today at 4:30 p.m. ET SAN DIEGO, June 26, 2025 /PRNewswire/ -- Aethlon Medical, Inc. (the Company or Aethlon) (NASDAQ:AEMD), a medical therapeutic company focused on developing products to treat cancer and life-threatening infectious diseases, today reported financial results for its fiscal fourth quarter ended March 31, 2025, and provided an update on recent developments.  Key Fiscal 2025 Highlights First three patients treated in Hemopurifier® cancer trial at Australian sitesIndian

      6/26/25 4:15:00 PM ET
      $AEMD
      Medical/Dental Instruments
      Health Care
    • Aethlon Medical to Release Fiscal Fourth Quarter Financial Results and Host Conference Call on June 26, 2025

      SAN DIEGO, June 20, 2025 /PRNewswire/ -- Aethlon Medical, Inc. (NASDAQ:AEMD), a medical therapeutic company focused on developing products to treat cancer and life threatening infectious diseases, today announced that it will issue financial results for its fiscal fourth quarter ended March 31, 2025, at 4:15 p.m. ET on Thursday, June 26, 2025. Management will host a conference call on Thursday, June 26, 2025, at 4:30 p.m. ET to review financial results and recent corporate developments. Following management's formal remarks, there will be a question and answer session. Interested parties can register for the conference call by navigating to https://dpregister.com/sreg/10200578/ff60012c0c. P

      6/20/25 8:01:00 AM ET
      $AEMD
      Medical/Dental Instruments
      Health Care
    • Aethlon Medical Announces Financial Results for the Fiscal Third Quarter Ended December 31, 2024 and Provides Corporate Update

      Key Milestone Achieved: First Patient treated in Hemopurifier® Safety, Feasibility, and Dose Finding Study for Solid Tumors Not Responding to Anti-PD-1 Antibodies Patient Enrollment Open at Two Australian for Hemopurifier® Cancer Trial Operating Expenses Significantly Reduced Conference Call to be Held Today at 4:30 p.m. ET SAN DIEGO, Feb. 12, 2025 /PRNewswire/ -- Aethlon Medical, Inc. (NASDAQ:AEMD), a medical therapeutic company focused on developing products to treat cancer and life-threatening infectious diseases, today reported financial results for its fiscal third quarter ended December 31, 2024 and provided an update on recent developments. Company Updates During the third quarter, a

      2/12/25 4:15:00 PM ET
      $AEMD
      Medical/Dental Instruments
      Health Care

    $AEMD
    Large Ownership Changes

    This live feed shows all institutional transactions in real time.

    See more
    • SEC Form SC 13G/A filed by Aethlon Medical, Inc. (Amendment)

      SC 13G/A - AETHLON MEDICAL INC (0000882291) (Subject)

      1/13/22 10:30:14 AM ET
      $AEMD
      Medical/Dental Instruments
      Health Care
    • SEC Form SC 13G filed by Aethlon Medical, Inc.

      SC 13G - AETHLON MEDICAL INC (0000882291) (Subject)

      6/15/21 10:01:32 AM ET
      $AEMD
      Medical/Dental Instruments
      Health Care
    • SEC Form SC 13G/A filed

      SC 13G/A - AETHLON MEDICAL INC (0000882291) (Subject)

      2/22/21 9:53:48 AM ET
      $AEMD
      Medical/Dental Instruments
      Health Care