0001683168-17-002823.txt : 20171103 0001683168-17-002823.hdr.sgml : 20171103 20171103103022 ACCESSION NUMBER: 0001683168-17-002823 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171030 FILED AS OF DATE: 20171103 DATE AS OF CHANGE: 20171103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FRAKES JAMES B CENTRAL INDEX KEY: 0001185553 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37487 FILM NUMBER: 171175002 MAIL ADDRESS: STREET 1: 9635 GRANITE RIDGE DRIVE, SUITE 100 CITY: SAN DIEGO STATE: CA ZIP: 92123 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 4 1 frakes_frm4.xml OWNERSHIP DOCUMENT X0306 4 2017-10-30 0 0000882291 AETHLON MEDICAL INC AEMD 0001185553 FRAKES JAMES B 9635 GRANITE RIDGE DRIVE, SUITE 100 SAN DIEGO CA 92123 0 1 0 0 Chief Financial Officer Common Stock 2017-10-30 4 M 0 1565 0.98 A 12062 D Restricted Stock Units 2017-10-30 4 C 0 3250 0 D Common Stock 3250 36568 D Each restricted stock unit represents the right to receive, at settlement, one share of common stock, originally issued on August 9, 2016. Number of shares issued is net of number withheld for grantee taxes. No securities were bought or sold, rather restricted stock units were exercised. 13,000 of the restricted stock units vested on the grant date, and 3,250 restricted units will vest each quarter beginning 1/1/17. Represents conversion of restricted stock units with common stock issued as of October 30, 2017. /s/ James B. Frakes 2017-11-03