0001683168-16-000248.txt : 20161004 0001683168-16-000248.hdr.sgml : 20161004 20161004193011 ACCESSION NUMBER: 0001683168-16-000248 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161004 DATE AS OF CHANGE: 20161004 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: 161920911 MAIL ADDRESS: STREET 1: 1895 PRESTON WHITE DR STREET 2: STE 250 CITY: RESTON STATE: VA ZIP: 20191 4 1 broenniman_fmr4-100416.xml OWNERSHIP DOCUMENT X0306 4 2016-09-30 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 2016-09-30 4 M 0 821 A 13861 D Restricted Stock Units 2016-09-30 4 M 0 1368 0 D Common Stock 1368 2736 D Represents the settlement in common stock of previously issued restricted stock units upon vesting of such units, net of shares of common stock withheld by the issuer to satisfy the tax obligation of the reporting person (transaction code F) due upon vesting of the units. A total of 1,368 shares of common stock were issuable upon vesting of the units, and 547 shares were withheld by the issuer. The issuer paid the reporting person $4.99 per share of common stock withheld, which the reporting person is to use to pay his tax obligation related to the vesting of the units. Each restricted stock unit represents the right to receive, at settlement, one share of common stock. 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: 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, and options to purchase 3,684 shares of common stock at $9.50 per share. 12,328 of the restricted stock units vested on the grant date, 8/9/16, and 1,368 of the remaining restricted stock units vested or will vest on each of 9/30/16, 12/31/16 and 3/31/17. /s/ Edward G. Broenniman 2016-10-03