SEC Form 4 · accession 0001019687-16-007395
AETHLON MEDICAL INC · AEMD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James A Joyce
Officer — Chairman, CEO, Secretary · Director
Period of report
Aug 24, 2016
Accepted (ET)
Aug 29, 2016 · 8:25 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000882291
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F1 | Aug 24, 2016 | G | 2,000 | $0.00 | D | 74,000 | D | |
| Common StockF3,F1 | Aug 24, 2016 | G | 2,000 | $0.00 | D | 72,000 | D | |
| Common StockF3,F1 | Aug 24, 2016 | G | 2,000 | $0.00 | A | 2,000 | I | As custodian for daughter |
| Common StockF3,F1 | Aug 24, 2016 | G | 2,000 | $0.00 | D | 70,000 | D | |
| Common StockF3,F1 | Aug 24, 2016 | G | 2,000 | $0.00 | A | 2,000 | I | As custodian for son |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1In 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 158,500 vested restricted stock units.
- F2This transaction is a donation of common stock by Mr. Joyce to a charitable organization in exchange for no consideration.
- F3This transaction is a gift of common stock by Mr. Joyce to his minor child in exchange for no consideration.