SEC Form 4 · accession 0001683168-17-001074
AETHLON MEDICAL INC · AEMD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James B Frakes
Officer — Chief Financial Officer
Period of report
May 1, 2017
Accepted (ET)
May 2, 2017 · 11:55 am 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 StockF1 | May 1, 2017 | M | 1,594 | $2.23 | A | 8,932 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | May 1, 2017 | D | 1,594 | D | — | — | Common Stock | 1,594 | 43,068 | D |
Explanation of responses
- F1Each restricted stock unit represents the right to receive, at settlement, one share of common stock, originally issued on August 9, 2016.
- F213,000 of the restricted stock units vested on the grant date, and 3,250 restricted stock units will vest each quarter beginning 1/1/17. Represents conversion of restricted stock units with common stock issued on May 1, 2017 (and effective April 28, 2017).