4: Statement of changes in beneficial ownership of securities
Published on April 14, 2010
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIPFiled pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | ||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
AETHLON MEDICAL INC [ AEMD.OB ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 03/31/2010 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
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| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock | 03/31/2010 | 04/05/2010 | S | 11,000(2) | D | $0.365 | 371,374(3) | D | ||
| Common Stock | 04/01/2010 | 04/06/2010 | S | 11,400(2) | D | $0.37 | 359,974(3) | D | ||
| Common Stock | 04/05/2010 | 04/08/2010 | S | 11,500(2) | D | $0.351 | 348,474(3) | D | ||
| Common Stock | 04/06/2010 | 06/09/2010 | S | 11,900(2) | D | $0.35 | 336,574(3) | D | ||
| Common Stock | 04/07/2010 | 05/12/2010 | S | 12,000(2) | D | $0.35 | 324,574(3) | D | ||
| Common Stock | 04/08/2010 | 04/13/2010 | S | 12,500(2) | D | $0.335 | 312,074(3) | D | ||
| Common Stock | 04/09/2010 | 04/14/2010 | S | 12,500(2) | D | $0.332 | 299,574(3) | D | ||
| Common Stock | 04/12/2010 | 04/15/2010 | S | 12,500(2) | D | $0.335 | 287,074(3) | D | ||
| Common Stock | 04/13/2010 | 04/16/2010 | S | 4,900(1)(2) | D | $0.335 | 282,174(3)(4) | D | ||
| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Explanation of Responses: |
| 1. THIS CONCLUDES THE SALE OF THE 200,000 SHARES COVERED BY THE PLAN DESCRIBED BELOW IN FOOTNOTE 2 FOR SALE THROUGH MARCH 14, 2011. |
| 2. The shares of common stock were sold by Mr. Broenniman pursuant to a 10b5-1 selling plan providing for the sale of up to 200,000 shares of the issuer's common stock between March 15, 2010 and March 14, 2011. The plan provides for sales of the shares at a price of no less than $0.30 per share, at a rate of no more than 5% of the average trading volume in the issuer's common stock for the 30-day period preceding the sale, as reported on dailyfinance.com; provided that such sales may not exceed 1% of the outstanding share balance during any 90-day period. |
| 3. In addition to the currently outstanding shares of common stock owned by Mr. Broenniman and reported here, Mr. Broenniman also beneficially owns the shares of common stock underlying the following stock options: options to purchase 2,500 shares of common stock at $3.75 per share; options to purchase 3,000 shares of common stock at $1.78 per share; options to purchase 514,550 shares of common stock at $0.38 per share; and options to purchase 500,000 shares of common stock at $0.41 per share. |
| 4. Includes 33,885 shares of common stock owned by Linda Broenniman, the spouse of Edward Broenniman, and 246,300 shares jointly owned by Edward and Linda Broenniman. |
| Remarks: |
| /s/ Edward G. Broenniman | 04/13/2010 | |
| ** Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.