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