SEC Form 4 · accession 0001683168-17-001075
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
May 1, 2017
Accepted (ET)
May 2, 2017 · 12:02 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 | May 1, 2017 | M | 19,079 | $2.23 | A | 117,096 | 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 UnitsF2,F3 | — | May 1, 2017 | D | 19,079 | D | — | — | Common Stock | 19,079 | 516,814 | D |
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 vested restricted stock units as set forth in Table II above.
- F2Each restricted stock unit represents the right to receive, at settlement, one share of common stock, originally issued on August 9, 2016.
- F3158,500 of the restricted stock units vested on the grant date, and 39,625 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 (with an effective date of April 28, 2017).