0001683168-16-000020.txt : 20160906 0001683168-16-000020.hdr.sgml : 20160906 20160906145500 ACCESSION NUMBER: 0001683168-16-000020 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160901 FILED AS OF DATE: 20160906 DATE AS OF CHANGE: 20160906 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AETHLON MEDICAL INC CENTRAL INDEX KEY: 0000882291 STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY ANALYTICAL INSTRUMENTS [3826] IRS NUMBER: 133632859 STATE OF INCORPORATION: NV FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 9635 GRANITE RIDGE DRIVE, SUITE 100 CITY: SAN DIEGO STATE: CA ZIP: 92123 BUSINESS PHONE: 858-459-7800 MAIL ADDRESS: STREET 1: 9635 GRANITE RIDGE DRIVE, SUITE 100 CITY: SAN DIEGO STATE: CA ZIP: 92123 FORMER COMPANY: FORMER CONFORMED NAME: BISHOP EQUITIES INC DATE OF NAME CHANGE: 19930602 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BROENNIMAN EDWARD G CENTRAL INDEX KEY: 0001284599 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37487 FILM NUMBER: 161870660 MAIL ADDRESS: STREET 1: 1895 PRESTON WHITE DR STREET 2: STE 250 CITY: RESTON STATE: VA ZIP: 20191 4 1 broenniman_frm4.xml FORM 4 X0306 4 2016-09-01 0 0000882291 AETHLON MEDICAL INC AEMD 0001284599 BROENNIMAN EDWARD G 9635 GRANITE RIDGE DRIVE, SUITE 100 SAN DIEGO CA 92123 1 0 0 0 Common Stock 2016-09-01 4 M 0 12328 A 17971 D Common Stock 2016-09-01 4 F 0 4931 6.28 D 13040 D Restricted Stock Units 2016-09-01 4 M 0 12328 0 D Common Stock 12328 4104 D Represents the settlement in common stock of previously issued restricted stock units upon vesting of such units. Each restricted stock unit represents the right to receive, at settlement, one share of common stock. For tax purposes, each share of common stock was valued at $6.28, the closing price of the common stock on 8/9/16, the date of grant. In addition to the currently outstanding shares of common stock owned by the reporting person and reported here, the reporting person also beneficially owns the shares of common stock underlying the following stock options and restricted stock units: options to purchase 10,000 shares of common stock at $20.50 per share, options to purchase 12,000 shares of common stock at $12.50 per share, options to purchase 9,211 shares of common stock at $3.80 per share, options to purchase 8,537 shares of common stock at $4.10 per share, options to purchase 3,684 shares of common stock at $9.50 per share and 1,368 restricted stock units. Represents shares of common stock withheld and deemed sold to the issuer to satisfy the tax obligation of the reporting person due upon vesting of the restricted stock units. 12,328 of the restricted stock units vested on the grant date, 8/9/16, and 1,368 of the remaining restricted stock units will vest on each of 9/30/16, 12/31/16 and 3/31/17. /s/ Edward G. Broenniman 2016-09-04