13G Filing: Empery Asset Management, Lp and Aethlon Medical Inc (NASDAQ:AEMD)

1

NAMES OF REPORTING PERSONS

Empery Asset Management, LP

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ¨

(b) ¨

3

SEC USE ONLY

4

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH

5

SOLE VOTING POWER

6

SHARED VOTING POWER

773,000 shares of Common Stock

813,096 shares of Common Stock issuable upon exercise
of Warrants (See Item 4)*

7

SOLE DISPOSITIVE POWER

8

SHARED DISPOSITIVE POWER

773,000 shares of Common Stock

813,096 shares of Common Stock issuable upon exercise
of Warrants (See Item 4)*

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

773,000 shares of Common Stock

813,096 shares of Common Stock issuable upon exercise
of Warrants (See Item 4)*

10

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

¨

11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

8.79% (See Item 4)*

12

TYPE OF REPORTING PERSON

PN

Page 2 of 9 – SEC Filing

1	NAMES OF REPORTING PERSONS Empery Asset Management, LP
2	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP		(a) ¨ (b) ¨
3	SEC USE ONLY
4	CITIZENSHIP OR PLACE OF ORGANIZATION Delaware
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH	5	SOLE VOTING POWER
	6	SHARED VOTING POWER 773,000 shares of Common Stock 813,096 shares of Common Stock issuable upon exercise of Warrants (See Item 4)*
	7	SOLE DISPOSITIVE POWER
	8	SHARED DISPOSITIVE POWER 773,000 shares of Common Stock 813,096 shares of Common Stock issuable upon exercise of Warrants (See Item 4)*
9	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 773,000 shares of Common Stock 813,096 shares of Common Stock issuable upon exercise of Warrants (See Item 4)*
10	CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES			¨
11	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 8.79% (See Item 4)*
12	TYPE OF REPORTING PERSON PN