SEC Form 4 · accession 0001683168-17-002824

AETHLON MEDICAL INC · AEMD

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chairman, CEO, Secretary · Director

Period of report

Oct 30, 2017

Accepted (ET)

Nov 3, 2017 · 10:31 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 Stock^F2,F1	Oct 30, 2017	M	19,079	$0.98	A	155,254	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F2,F3	—	Oct 30, 2017	C	39,625	D	—	—	Common Stock	39,625	437,564	D

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. Number of shares issued is net of number withheld for grantee taxes. No securities were bought or sold, rather restricted stock units were exercised.
F3158,500 of the restricted stock units vested on the grant date, and 39,625 restricted units will vest each quarter beginning 1/1/17. Represents conversion of restricted stock units with common stock issued as of October 30, 2017.