Statement of Ownership (sc 13g)
16 February 2013 - 8:09AM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. __)*
Aethlon Medical, Inc.
(Name of Issuer)
Common Stock, $.001 par value
(Title of Class of Securities)
00808Y109
(CUSIP Number)
August 29, 2012
(Date of Event Which Requires Filing of this
Statement)
Check the appropriate box to designate the rule pursuant to which
this Schedule is filed:
q
Rule 13d-1(b)
x
Rule 13d-1(c)
q
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 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 the purpose 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
. 00808Y109
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Page 2 of 6 Pages
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1.
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Names of reporting persons
Chetan Shah, M.D.
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2.
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Check the appropriate box if a member of a group
(see instructions)
(a)
o
(b)
o
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3.
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SEC use only
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4.
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Citizenship or place of organization
United States
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Number of
shares
beneficially
owned by
each
reporting
person with:
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5.
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Sole voting power
11,000,001
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6.
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Shared voting power
0
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7.
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Sole dispositive power
11,000,001
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8.
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Shared dispositive power
0
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9.
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Aggregate amount beneficially owned by each reporting
person
11,000,001
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10.
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Check if the aggregate amount in row (9) excludes
certain shares (see instructions)
o
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11.
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Percent of class represented by amount in row
(9)
6.4%
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12.
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Type of reporting person (see instructions)
IN
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CUSIP No.
00808Y109
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Page 3 of 6 Pages
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(a)
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Name of issuer: Aethlon Medical, Inc.
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(b)
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Address of issuer’s principal executive offices: 8910 University Center Lane, Suite 660, San Diego, CA 92122
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(a)
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Name of person filing: Chetan Shah, M.D. (the “Reporting Person”)
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(b)
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Address of principal business office or, if none, residence: 9 Grace Hill Court, Titusville, NJ 08560
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(c)
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Citizenship: United States
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(d)
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Title of class of securities: Common Stock, par value $.001
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Item 3.
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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:
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(a)
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q
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Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
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(b)
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q
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Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
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(c)
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q
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Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
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(d)
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q
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Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
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(e)
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q
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An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
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(f)
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q
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An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
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(g)
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q
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A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
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(h)
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q
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A savings association as defined in section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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(i)
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q
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A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
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(j)
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q
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A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);
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(k)
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q
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Group, in accordance with § 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: ___
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CUSIP No.
00808Y109
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Page 4 of 6 Pages
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Provide the following information regarding the aggregate number
and percentage of the class of securities of the issuer identified in Item 1.
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(a)
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Amount beneficially owned: The Reporting Person beneficially owns 11,000,001 shares of Common Stock.
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(b)
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Percent of class: The Reporting Person’s beneficial ownership of 6.4% is based on 168,083,769 outstanding shares of
Common Stock of the Issuer, as disclosed on the Issuer’s Form 10-Q filed with the Securities and Exchange Commission on
February 12, 2013.
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(c)
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Number of shares as to which the person has:
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(i)
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Sole power to vote or to direct the vote: 11,000,001
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(ii)
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Shared power to vote or to direct the vote: 0
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(iii)
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Sole power to dispose or to direct the disposition of: 11,000,001
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(iv)
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Shared power to dispose or to direct the disposition of: 0
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Item 5.
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Ownership of 5 Percent or Less of a Class
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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 5 percent of the class of securities, check
the following
q
Item 6.
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Ownership of More than 5 Percent on Behalf of Another Person
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Not applicable.
Item 7.
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Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person
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Not applicable.
Item 8.
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Identification and Classification of Members of the Group
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Not applicable.
Item 9.
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Notice of Dissolution of the Group
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Not applicable.
CUSIP No.
00808Y109
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Page 5 of 6 Pages
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The following certification shall be included if the statement is
filed pursuant to § 240.13d-1(c):
By signing below I certify that, to the best of my 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, other than activities solely in connection with a nomination under § 240.14a-11.
CUSIP No.
00808Y109
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Page 6 of 6 Pages
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Signature
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.
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Date:
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February 14, 2013
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By:
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/s/ Chetan Shah, M.D.
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Chetan Shah, M.D.
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