SEC Form 4 · accession 0001683168-18-000293
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
Jan 31, 2018
Accepted (ET)
Feb 2, 2018 · 8:31 pm EST
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 | Jan 31, 2018 | M | 1,393 | $1.50 | A | 13,455 | 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 | — | Jan 31, 2018 | C | 3,250 | D | — | — | Common Stock | 3,250 | 33,318 | 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. Number of shares issued is net of number withheld for grantee taxes. No securities were bought or sold, rather restricted stock units were exercised.
- F213,000 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 1/31/18.