0001209191-22-050215.txt : 20220916 0001209191-22-050215.hdr.sgml : 20220916 20220916110816 ACCESSION NUMBER: 0001209191-22-050215 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220915 FILED AS OF DATE: 20220916 DATE AS OF CHANGE: 20220916 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Shah Chetan CENTRAL INDEX KEY: 0001566040 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37487 FILM NUMBER: 221247311 MAIL ADDRESS: STREET 1: 9 GRACE HILL COURT CITY: TITUSVILLE STATE: NJ ZIP: 08560 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AETHLON MEDICAL INC CENTRAL INDEX KEY: 0000882291 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 133632859 STATE OF INCORPORATION: NV FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 11555 SORRENTO VALLEY ROAD, SUITE 203 CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 858-459-7800 MAIL ADDRESS: STREET 1: 11555 SORRENTO VALLEY ROAD, SUITE 203 CITY: SAN DIEGO STATE: CA ZIP: 92121 FORMER COMPANY: FORMER CONFORMED NAME: BISHOP EQUITIES INC DATE OF NAME CHANGE: 19930602 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2022-09-15 0 0000882291 AETHLON MEDICAL INC AEMD 0001566040 Shah Chetan 11555 SORRENTO VALLEY ROAD, SUITE 203 SAN DIEGO CA 92121 1 0 0 0 Common Stock 2022-09-15 4 A 0 34247 0.00 A 60313 D The RSU was granted on 4/1/22, but was contingent on stockholder approval of an increase in the shares issuable under the Issuer's 2020 Equity Incentive Plan at the Issuer's annual meeting of stockholders held on 9/15/22, and therefore for purposes of Section 16 the RSU was not "acquired" until such stockholder approval was obtained. 50% of the shares subject to the RSU will vest on 9/30/22, and 25% of the RSU's will vest on each of 12/31/22 and 3/31/23, subject to continuous service through each such date. /s/ Chetan Shah, by: James B. Frakes, Attorney-in-fact 2022-09-16