0001209191-20-050824.txt : 20200917 0001209191-20-050824.hdr.sgml : 20200917 20200917130332 ACCESSION NUMBER: 0001209191-20-050824 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200403 FILED AS OF DATE: 20200917 DATE AS OF CHANGE: 20200917 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FRAKES JAMES B CENTRAL INDEX KEY: 0001185553 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37487 FILM NUMBER: 201180671 MAIL ADDRESS: STREET 1: 9635 GRANITE RIDGE DRIVE, SUITE 100 CITY: SAN DIEGO STATE: CA ZIP: 92123 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AETHLON MEDICAL INC CENTRAL INDEX KEY: 0000882291 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 133632859 STATE OF INCORPORATION: NV FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 9635 GRANITE RIDGE DRIVE, SUITE 100 CITY: SAN DIEGO STATE: CA ZIP: 92123 BUSINESS PHONE: 858-459-7800 MAIL ADDRESS: STREET 1: 9635 GRANITE RIDGE DRIVE, SUITE 100 CITY: SAN DIEGO STATE: CA ZIP: 92123 FORMER COMPANY: FORMER CONFORMED NAME: BISHOP EQUITIES INC DATE OF NAME CHANGE: 19930602 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-04-03 0 0000882291 AETHLON MEDICAL INC AEMD 0001185553 FRAKES JAMES B 9635 GRANITE RIDGE DRIVE, SUITE 100 SAN DIEGO CA 92123 0 1 0 0 Chief Financial Officer Employee Stock Option (right to buy) 1.28 2020-04-03 4 A 0 140472 0.00 A 2030-04-02 Common Stock 140472 140472 D The option was granted on 4/3/20, but was contingent on stockholder approval of the Issuer's 2020 Equity Incentive Plan at the Issuer's annual meeting of stockholders held on 9/15/20, and therefore for purposes of Section 16, the option was not "acquired" until such stockholder approval was obtained. One-quarter of the shares subject to the option shall vest twelve months from the 4/3/20 grant date, and the remainder shall vest in equal monthly installments thereafter until fully vested on April 2, 2024. /s/ James B. Frakes 2020-09-17