SEC Form 4 · accession 0001683168-18-002087
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
Jul 31, 2018
Accepted (ET)
Aug 1, 2018 · 10:33 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 | Jul 31, 2018 | M | 1,562 | $1.23 | A | 16,345 | 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 | — | Jul 31, 2018 | C | 3,250 | D | — | — | Common Stock | 3,250 | 49,789 | D |
Explanation of responses
- F1Each restricted stock unit represents the right to receive, at settlement, one share of common stock. 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 8/9/16, and 3,250 restricted units vested each quarter beginning 1/1/17. 22,971 restricted stock units to vest ratably on 9/30/18, 12/31/18 and 3/31/19. Represents conversion of restricted stock units with common stock issued as of 7/31/18.