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