UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549  

 

FORM 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): September 25, 2015

 

AETHLON MEDICAL, INC.

(Exact name of registrant as specified in its charter)

         

Nevada

(State or other jurisdiction

of incorporation)

 

001-37487

(Commission File Number)

 

13-3632859

(IRS Employer

Identification Number)

 

     

9635 Granite Ridge Drive, Suite 100

San Diego, California

(Address of principal executive offices)

 

92123

(Zip Code)

 

 

Registrant’s telephone number, including area code: (858) 459-7800

 

Not applicable

(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):

     
☐    Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
     
☐   Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
     
☐   Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
     
☐   Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 

 

FORWARD-LOOKING STATEMENTS

 

This Form 8-K and other reports filed by us from time to time with the Securities and Exchange Commission contain or may contain forward-looking statements and information that are based upon beliefs of, and information currently available to, our management as well as estimates and assumptions made by our management. When used in such filings, the words "anticipate,” "believe," "estimate," "expect," "future," "intend," "plan" or the negative of these terms and similar expressions as they relate to us or our management identify forward-looking statements. Such statements reflect our current view with respect to future events and are subject to risks, uncertainties, assumptions and other factors relating to our industry, our operations and results of operations and any businesses that we may acquire. Should one or more of these risks or uncertainties materialize, or should the underlying assumptions prove incorrect, actual results may differ significantly from those anticipated, believed, estimated, expected, intended or planned.

 

Although we believe that the expectations reflected in the forward-looking statements are reasonable, we cannot guarantee future results, levels of activity, performance or achievements. Except as required by applicable law, including the securities laws of the United States, we do not intend to update any of the forward-looking statements to conform these statements to actual results.

 

ITEM 1.01 ENTRY INTO A MATERIAL DEFINITIVE AGREEMENT.

 

On September 25, 2015, Aethlon Medical, Inc. (“we”) entered into an extension of our contract with the Defense Advanced Research Projects Agency, or DARPA, part of the Department of Defense. We originally entered into the initial contract on September 30, 2011. DARPA entered into this contract extension in order to exercise its option to continue the contract for year five, the final year of the contract.

 

The DARPA contract is priced on a fixed-price basis. Pursuant to the contract extension, we have the potential to earn up to $581,157 in fixed payments upon our achievement of the milestones for year five of the contract.

 

ITEM 9.01 FINANCIAL STATEMENTS AND EXHIBITS.
   
(d) EXHIBITS
   
EXHIBIT NO.

DESCRIPTION

 

10.1

DARPA Contract Extension dated September 25, 2015

 

   

 

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.
         
       

 

By:  /s/ James B. Frakes

        James B. Frakes
    Dated: September 28, 2015   Chief Financial Officer

 

3

 

EXHIBIT INDEX

 

EXHIBIT NO.

DESCRIPTION

 

10.1

DARPA Contract Extension dated September 25, 2015

 

 

4

 

Exhibit 10.1

 

 

 

 

N66001-11-C-4188

P00012

Page 2 of 3

 

SECTION SF 30 BLOCK 14 CONTINUATION PAGE

 

SUMMARY OF CHANGES

 

SECTION A - SOLICITATION/CONTRACT FORM

 

The total cost of this contract was increased by $581,157.00 from $5,354,839.00 to $5,935,996.00.

 

SECTION B - SUPPLIES OR SERVICES AND PRICES

 

CLIN 0011

The option status has changed from Option to Option Exercised.

 

CLIN 0012

The option status has changed from Option to Option Exercised.

 

SUBCLIN 001101 is added as follows:

 

001101 Funding for Opt 4 MIPR# ACRN $581,157.00
  HR0011518340 AH  

 

 

SECTION E - INSPECTION AND ACCEPTANCE

 

The following Acceptance/Inspection Schedule was added for SUBCLIN 001101:

INSPECT AT INSPECT BY ACCEPT AT ACCEPT BY
N/A N/A N/A Government

 

 

 

SECTION G - CONTRACT ADMINISTRATION DATA

 

Accounting and Appropriation

 

Summary for the Payment Office

 

As a result of this modification, the total funded amount for this document was increased by $581,157.00 from $5,354,839.00 to $5,935,996.00.

 

SUBCLIN 001101:

Funding on SUBCLIN 001101 is initiated as follows:

 

ACRN: AH

 

CIN: 130021178700011

 

 

 

N66001-11-C-4188

P00012

Page 3 of 3

 

Acctng Data: 9715160400 1320 BDL TTT20 1 5BT01C OR EADARP A255HR001151 83400200020602115E00 012199

 

Increase: $581,157.00

 

Total: $581,157.00

 

(End of Summary of Changes)