Page 5 of 8 – SEC Filing
Item 1.
(a) Name of Issuer
Aethlon Medical, Inc. (the
“Issuer”)
(b) Address of Issuer’s Principal
Executive Offices
8910 University Center Lane, Suite
660
San Diego, California 92122
Item 2.
(a) Name of Person Filing
(b) Address of Principal Business Office or, if none,
Residence
(c) Citizenship
This Schedule 13G is being filed
on behalf of (i) Mitchell P. Kopin, an individual who is a citizen of the United States of America (“Mr. Kopin”),
(ii) Daniel B. Asher, an individual who is a citizen of the United States of America (“Mr. Asher”) and (iii)
Intracoastal Capital LLC, a Delaware limited liability company (“Intracoastal” and together with Mr. Kopin and
Mr. Asher, collectively the “Reporting Persons”).
The Reporting Persons have entered
into a Joint Filing Agreement, a copy of which is filed with this Schedule 13G as Exhibit 1, pursuant to which the
Reporting Persons have agreed to file this Schedule 13G jointly in accordance with the provisions of Rule 13d-1(k) of the Securities
Exchange Act of 1934, as amended.
The principal business office
of Mr. Kopin and Intracoastal is 245 Palm Trail, Delray Beach, Florida 33483.
The principal business office
of Mr. Asher is 111 W. Jackson Boulevard, Suite 2000, Chicago, Illinois 60604.
(d) Title of Class of Securities
Common stock, $0.001 par value
per share, of the Issuer (the “Common Stock”).
(e) CUSIP Number
00808Y208
Item 3. If this statement is filed pursuant
to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
Not applicable.
Item
4. Ownership.
(a) and (b):
(i) Immediately
following the execution of the Securities Purchase Agreement with the Issuer on October 2, 2017 (the “SPA”)
(as disclosed by the Issuer with the Securities and Exchange Commission on October 3, 2017), each of the Reporting Persons
may be deemed to have beneficial ownership of 993,459 shares of Common Stock, which consisted of
(i) 909,090 shares of Common Stock that was to be issued
to Intracoastal at the closing of the transactions contemplated by the SPA and (ii) 84,369 shares of Common Stock issuable upon
exercise of a warrant that was to be issued to Intracoastal at the closing of the transactions contemplated by the SPA (the “Intracoastal
Warrant”), and all such shares of Common Stock in the aggregate represent beneficial ownership of approximately
9.99% of the Common Stock, based on (1) 8,951,081
shares of Common Stock outstanding as of September 7, 2017 as reported by the Issuer, plus (2)
909,090 shares of Common Stock that was to be issued to Intracoastal at the closing of the
transactions contemplated by the SPA and (3) 84,369 shares of Common Stock issuable upon exercise of the Intracoastal Warrant.
The foregoing excludes 824,721 shares of Common Stock issuable upon exercise of the Intracoastal
Warrant because the Intracoastal Warrant contains a blocker provision under
which the holder thereof does not have the right to exercise the Intracoastal Warrant to
the extent that such exercise would result in beneficial ownership by the holder thereof, together with the holder’s affiliates
and any other persons acting as a group together with the holder or any of the holder’s affiliates, of more than 9.99% of
the Common Stock. Without such blocker provision, each of the Reporting Persons may have been deemed to have beneficial ownership
of 1,818,180 shares of Common Stock.
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