Filing Details

Accession Number:
0001019687-10-001293
Form Type:
4
Zero Holdings:
No
Publication Time:
2010-04-06 13:00:00
Reporting Period:
2010-03-15
Filing Date:
2010-04-06
Accepted Time:
2010-04-06 08:22:22
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 2010-03-15 6,700 $0.38 475,474 No 4 S Direct
Common Stock Disposition 2010-03-16 7,000 $0.39 468,474 No 4 S Direct
Common Stock Disposition 2010-03-17 7,100 $0.41 461,374 No 4 S Direct
Common Stock Disposition 2010-03-18 7,200 $0.38 454,174 No 4 S Direct
Common Stock Disposition 2010-03-19 7,400 $0.39 446,774 No 4 S Direct
Common Stock Disposition 2010-03-22 7,700 $0.39 439,074 No 4 S Direct
Common Stock Disposition 2010-03-23 7,700 $0.39 431,374 No 4 S Direct
Common Stock Disposition 2010-03-24 8,000 $0.39 423,374 No 4 S Direct
Common Stock Disposition 2010-03-25 9,000 $0.45 414,374 No 4 S Direct
Common Stock Disposition 2010-03-26 10,000 $0.41 404,374 No 4 S Direct
Common Stock Disposition 2010-03-29 11,000 $0.39 393,374 No 4 S Direct
Common Stock Disposition 2010-03-30 11,000 $0.38 382,374 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
No 4 S Direct
No 4 S Direct
No 4 S Direct
Footnotes
  1. 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.
  2. 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.
  3. Includes 33,885 shares of common stock owned by Linda Broenniman, the spouse of Edward Broenniman, and 346,500 shares jointly owned by Edward and Linda Broenniman.