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