4//SEC Filing
AETHLON MEDICAL INC 4
Accession 0001683168-16-000247
$AEMDCIK 0000882291operating
Filed
Oct 3, 8:00 PM ET
Accepted
Oct 4, 7:29 PM ET
Size
8.4 KB
Accession
0001683168-16-000247
Insider Transaction Report
Form 4
BARRY FRANKLYN S JR
Director
Transactions
- Exercise/Conversion
Common Stock
2016-09-30+821→ 10,340 total - Exercise/Conversion
Restricted Stock Units
2016-09-30−1,368→ 2,736 total→ Common Stock (1,368 underlying)
Footnotes (4)
- [F1]Represents the settlement in common stock of previously issued restricted stock units upon vesting of such units, net of shares of common stock withheld by the issuer to satisfy the tax obligation of the reporting person (transaction code F) due upon vesting of the units. A total of 1,368 shares of common stock were issuable upon vesting of the units, and 547 shares were withheld by the issuer. The issuer paid the reporting person $4.99 per share of common stock withheld, which the reporting person is to use to pay his tax obligation related to the vesting of the units.
- [F2]Each restricted stock unit represents the right to receive, at settlement, one share of common stock.
- [F3]In addition to the currently outstanding shares of common stock owned by the reporting person and reported here, the reporting person also beneficially owns the shares of common stock underlying the following stock options: options to purchase 10,000 shares of common stock at $20.50 per share, options to purchase 10,000 shares of common stock at $12.50 per share, options to purchase 9,211 shares of common stock at $3.80 per share, options to purchase 8,537 shares of common stock at $4.10 per share, and options to purchase 3,684 shares of common stock at $9.50 per share.
- [F4]12,328 of the restricted stock units vested on the grant date, 8/9/16, and 1,368 of the remaining restricted stock units vested or will vest on each of 9/30/16, 12/31/16 and 3/31/17.
Documents
Issuer
AETHLON MEDICAL INC
CIK 0000882291
Entity typeoperating
IncorporatedNV
Related Parties
1- filerCIK 0000882291
Filing Metadata
- Form type
- 4
- Filed
- Oct 3, 8:00 PM ET
- Accepted
- Oct 4, 7:29 PM ET
- Size
- 8.4 KB