Filing Details
- Accession Number:
- 0001019687-10-001406
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-04-14 13:00:00
- Reporting Period:
- 2010-03-31
- Filing Date:
- 2010-04-14
- Accepted Time:
- 2010-04-14 13:27:51
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
882291 | Aethlon Medical Inc | AEMD.OB | Laboratory Analytical Instruments (3826) | 133632859 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1284599 | G Edward Broenniman | 8910 University Center Lane, #660 San Diego CA 92122 | Yes | No | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Disposition | 2010-03-31 | 11,000 | $0.37 | 371,374 | No | 4 | S | Direct | |
Common Stock | Disposition | 2010-04-01 | 11,400 | $0.37 | 359,974 | No | 4 | S | Direct | |
Common Stock | Disposition | 2010-04-05 | 11,500 | $0.35 | 348,474 | No | 4 | S | Direct | |
Common Stock | Disposition | 2010-04-06 | 11,900 | $0.35 | 336,574 | No | 4 | S | Direct | |
Common Stock | Disposition | 2010-04-07 | 12,000 | $0.35 | 324,574 | No | 4 | S | Direct | |
Common Stock | Disposition | 2010-04-08 | 12,500 | $0.34 | 312,074 | No | 4 | S | Direct | |
Common Stock | Disposition | 2010-04-09 | 12,500 | $0.33 | 299,574 | No | 4 | S | Direct | |
Common Stock | Disposition | 2010-04-12 | 12,500 | $0.34 | 287,074 | No | 4 | S | Direct | |
Common Stock | Disposition | 2010-04-13 | 4,900 | $0.34 | 282,174 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct |
Footnotes
- THIS CONCLUDES THE SALE OF THE 200,000 SHARES COVERED BY THE PLAN DESCRIBED BELOW IN FOOTNOTE 2 FOR SALE THROUGH MARCH 14, 2011.
- 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.
- 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.
- 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.