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

Published on March 28, 2017 at 4:42 pm by Insider Monkey Staff in Hedge Funds

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Page 6 of 9 – SEC Filing

Item 3.

IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b) OR 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A:

	(a)	¨	Broker or dealer registered under Section 15 of the Act,
	(b)	¨	Bank as defined in Section 3(a)(6) of the Act,
	(c)	¨	Insurance Company as defined in Section 3(a)(19) of the Act,
	(d)	¨	Investment Company registered under Section 8 of the Investment Company Act of 1940,
	(e)	¨	Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940,
	(f)	¨	Employee Benefit Plan or Endowment Fund in accordance with Rule 13d-1(b)(1)(ii)(F),
	(g)	¨	Parent Holding Company or control person in accordance with Rule 13d-1(b)(1)(ii)(G),
	(h)	¨	Savings Association as defined in Section 3(b) of the Federal Deposit Insurance Act,
	(i)	¨	Church Plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940,
	(j)	¨	A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J);
	(k)	¨	Group, in accordance with Rule 13d-1(b)(1)(ii)(K).

If filing as a non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J),
please

specify the type of institution:______________

Item 4.

OWNERSHIP.

The information as of the date of the event which requires
filing of this statement required by Items 4(a) – (c) is set forth in Rows 5 – 11 of the cover page for each
Reporting Person hereto and is incorporated herein by reference for each such Reporting Person. The percentage set forth in
Row 11 of the cover page for each Reporting Person is based on 8,794,076 shares of Common Stock issued and outstanding as of
March 22, 2017, as represented in the Company’s Prospectus Supplement filed with the Securities and Exchange Commission
on March 23, 2017 pursuant to Rule 424(b)(5) and assumes the exercise of the Company’s reported warrants (the
“Reported Warrants”) subject to the Blockers (as defined below).

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LP.NASDAQ:AEMD SEC 13G Filing Empery Asset Management Aethlon Medical Inc (NASDAQ:AEMD)