0001683168-16-000021.txt : 20160906
0001683168-16-000021.hdr.sgml : 20160906
20160906145545
ACCESSION NUMBER: 0001683168-16-000021
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: Shah Chetan
CENTRAL INDEX KEY: 0001566040
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37487
FILM NUMBER: 161870664
MAIL ADDRESS:
STREET 1: 9 GRACE HILL COURT
CITY: TITUSVILLE
STATE: NJ
ZIP: 08560
4
1
shah_frm4.xml
FORM 4
X0306
4
2016-09-01
0
0000882291
AETHLON MEDICAL INC
AEMD
0001566040
Shah Chetan
9635 GRANITE RIDGE DRIVE, SUITE 100
SAN DIEGO
CA
92123
1
0
0
0
Common Stock
2016-09-01
4
M
0
12328
A
279630
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, warrants and restricted stock units: options to purchase 11,205 shares of common stock at $9.50 per share, warrants to purchase 109,322 shares of common stock at exercise prices ranging from $4.65 per share to $6.60 per share, and 1,368 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/ Chetan S. Shah
2016-09-02