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