0001683168-18-003227.txt : 20181102
0001683168-18-003227.hdr.sgml : 20181102
20181102182813
ACCESSION NUMBER: 0001683168-18-003227
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20181031
FILED AS OF DATE: 20181102
DATE AS OF CHANGE: 20181102
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Joyce James A
CENTRAL INDEX KEY: 0001318931
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37487
FILM NUMBER: 181158341
MAIL ADDRESS:
STREET 1: 3030 BUNKER HILL STREET, #4000
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
ownership.xml
X0306
4
2018-10-31
0
0000882291
AETHLON MEDICAL INC
AEMD
0001318931
Joyce James A
9635 GRANITE RIDGE DRIVE, SUITE 100
SAN DIEGO
CA
92123
1
1
0
0
Chairman, CEO, Secretary
Common Stock
2018-10-31
4
M
0
18683
1.04
A
212370
D
Restricted Stock Units
2018-10-31
4
C
0
39625
0
D
Common Stock
39625
279064
D
In addition to the currently outstanding shares of common stock owned by Mr. Joyce and reported here, Mr. Joyce also beneficially owns the shares of common stock underlying the following stock options and restricted stock units; options to purchase 50,000 shares of common stock at $18.00 per share; options to purchase 90,000 shares of common stock at $12.50 per share; options to purchase 20,000 shares of common stock at $5.00 per share; options to purchase 20,000 shares of common stock at $9.50 per share and vested restricted stock units as set forth in Table II above.
Each restricted stock unit represents the right to receive, at settlement, one share of common stock. Number of shares issued is net of number withheld for grantee taxes. No securities were bought or sold, rather restricted stock units were exercised.
158,500 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 10/31/2018.
/s/ James A. Joyce
2018-11-02