Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AETHLON MEDICAL INCAEMD · Entity 8580 | Director · CFO/CEO | October 08, 2026 | October 14, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
AETHLON MEDICAL INC
Report date October 08, 2026 · Filed October 14, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 42,063 |
Reported balance
After 2026-10-08 transaction · row 1
1 source rowRow 1 · 2026-10-08 · Grant · Acquired 42,000 · Balance 42,063 F1: Represents a grant of 42,000 restricted stock units ("RSUs") pursuant to the Issuer's 2020 Equity Incentive Plan, as amended. Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement. The RSUs vest over the one-year period following October 8, 2026, subject to the Reporting Person's continued service through the applicable vesting dates. Notwithstanding the foregoing, the RSUs will become fully vested upon the closing of the Issuer's proposed merger with North Immunology, Inc. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents a grant of 42,000 restricted stock units ("RSUs") pursuant to the Issuer's 2020 Equity Incentive Plan, as amended. Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement. The RSUs vest over the one-year period following October 8, 2026, subject to the Reporting Person's continued service through the applicable vesting dates. Notwithstanding the foregoing, the RSUs will become fully vested upon the closing of the Issuer's proposed merger with North Immunology, Inc.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 08, 2026 Filed Oct 14, 2026 01:13 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | GrantCommon Stock | 42,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001683168-26-007822 · ownership.xml · nonDerivative · entry 1 FRAKES JAMES B · CIK 0001185553 · Director · CFO/CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 42,063 F1 · shares: Represents a grant of 42,000 restricted stock units ("RSUs") pursuant to the Issuer's 2020 Equity Incentive Plan, as amended. Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement. The RSUs vest over the one-year period following October 8, 2026, subject to the Reporting Person's continued service through the applicable vesting dates. Notwithstanding the foregoing, the RSUs will become fully vested upon the closing of the Issuer's proposed merger with North Immunology, Inc. Read SEC document |
| February 10, 2022 Filed Feb 11, 2022 18:57 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | GrantEmployee Stock Option (Right to Buy) · Derivative | 100,200 | $0.00 Strike: $1.41 | $0.00 |
DisclosureSEC source: 0001209191-22-008774 · doc4.xml · derivative · entry 1 FRAKES JAMES B · CIK 0001185553 · CFO & Sr. VP ? Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,200 Underlying: Common Stock · 100,200 shares Expires 2032-02-09 F1 · derivative.exercise_date: 25% of the shares subject to the stock option shall vest and become exercisable on February 10, 2023, and the remaining shares shall vest and become exercisable in 36 equal monthly installments thereafter. Read SEC document |
| April 03, 2020 Filed Sep 17, 2020 17:03 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | GrantEmployee Stock Option (right to buy) · Derivative | 140,472 | $0.00 Strike: $1.28 | $0.00 |
DisclosureSEC source: 0001209191-20-050824 · doc4.xml · derivative · entry 1 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,472 Underlying: Common Stock · 140,472 shares Expires 2030-04-02 F1 · derivative.exercise_date: The option was granted on 4/3/20, but was contingent on stockholder approval of the Issuer's 2020 Equity Incentive Plan at the Issuer's annual meeting of stockholders held on 9/15/20, and therefore for purposes of Section 16, the option was not "acquired" until such stockholder approval was obtained. One-quarter of the shares subject to the option shall vest twelve months from the 4/3/20 grant date, and the remainder shall vest in equal monthly installments thereafter until fully vested on April 2, 2024. Read SEC document |
| January 31, 2020 Filed Jan 31, 2020 22:53 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | Tax withholdingCommon Stock | 125 | $3.70 | $462.50 |
DisclosureSEC source: 0001209191-20-005838 · doc4.xml · nonDerivative · entry 1 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,483 F1 · acquired: Reporting the tax withholding of shares upon vesting of the RSU dated 8/9/16 Read SEC document |
| October 30, 2019 Filed Oct 31, 2019 16:41 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | Tax withholdingCommon Stock | 115 | $3.93 | $451.95 |
DisclosureSEC source: 0001209191-19-054598 · doc4.xml · nonDerivative · entry 3 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,608 F1 · shares: The number of shares and price reported herein give effect to the 1-for-15 reverse stock split effected 10/14/19. F1 · price: The number of shares and price reported herein give effect to the 1-for-15 reverse stock split effected 10/14/19. F2 · acquired: Reporting the tax withholding of shares upon vesting of the RSU dated 8/9/16 F3 · balance_after: The end of period holdings reported herein give effect to the 1-for-15 reverse stock split effected 10/14/19. Read SEC document |
| July 31, 2019 Filed Oct 31, 2019 16:41 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | Tax withholdingCommon Stock | 113 | $3.30 | $372.90 |
DisclosureSEC source: 0001209191-19-054598 · doc4.xml · nonDerivative · entry 2 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,723 F1 · shares: The number of shares and price reported herein give effect to the 1-for-15 reverse stock split effected 10/14/19. F1 · price: The number of shares and price reported herein give effect to the 1-for-15 reverse stock split effected 10/14/19. F2 · acquired: Reporting the tax withholding of shares upon vesting of the RSU dated 8/9/16 F3 · balance_after: The end of period holdings reported herein give effect to the 1-for-15 reverse stock split effected 10/14/19. Read SEC document |
| April 30, 2019 Filed Oct 31, 2019 16:41 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | Tax withholdingCommon Stock | 129 | $11.25 | $1,451.25 |
DisclosureSEC source: 0001209191-19-054598 · doc4.xml · nonDerivative · entry 1 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,836 F1 · shares: The number of shares and price reported herein give effect to the 1-for-15 reverse stock split effected 10/14/19. F1 · price: The number of shares and price reported herein give effect to the 1-for-15 reverse stock split effected 10/14/19. F2 · acquired: Reporting the tax withholding of shares upon vesting of the RSU dated 8/9/16 F3 · balance_after: The end of period holdings reported herein give effect to the 1-for-15 reverse stock split effected 10/14/19. Read SEC document |
| March 29, 2019 Filed May 15, 2019 01:23 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | Tax withholdingCommon Stock | 4,529 | $0.95 | $4,302.55 |
DisclosureSEC source: 0001209191-19-029832 · doc5.xml · nonDerivative · entry 4 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,470 F2 · acquired: Reporting the tax withholding of shares upon vesting of the RSU dated 6/14/18 Read SEC document |
| January 18, 2019 Filed May 15, 2019 01:23 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | Tax withholdingCommon Stock | 1,922 | $1.40 | $2,690.80 |
DisclosureSEC source: 0001209191-19-029832 · doc5.xml · nonDerivative · entry 3 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,999 F1 · acquired: Reporting the tax withholding of shares upon vesting of the RSU dated 8/9/16 Read SEC document |
| December 19, 2018 Filed May 15, 2019 01:23 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | Tax withholdingCommon Stock | 4,047 | $1.30 | $5,261.10 |
DisclosureSEC source: 0001209191-19-029832 · doc5.xml · nonDerivative · entry 2 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,921 F2 · acquired: Reporting the tax withholding of shares upon vesting of the RSU dated 6/14/18 Read SEC document |
| October 31, 2018 Filed Nov 2, 2018 22:26 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | ConversionRestricted Stock Units · Derivative | 3,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001683168-18-003226 · ownership.xml · derivative · entry 2 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,539 Underlying: Common Stock · 3,250 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. Number of shares issued is net of number withheld for grantee taxes. No securities were bought or sold, rather restricted stock units were exercised. F2 · derivative.exercise_date: 13,000 of the restricted stock units vested on 8/9/16, and 3,250 restricted units vested each quarter beginning 1/1/17. 22,971 restricted stock units to vest ratably on 9/30/18, 12/31/18 and 3/31/19. Represents conversion of restricted stock units with common stock issued as of 10/31/18. F2 · derivative.expiration_date: 13,000 of the restricted stock units vested on 8/9/16, and 3,250 restricted units vested each quarter beginning 1/1/17. 22,971 restricted stock units to vest ratably on 9/30/18, 12/31/18 and 3/31/19. Represents conversion of restricted stock units with common stock issued as of 10/31/18. Read SEC document |
| October 31, 2018 Filed Nov 2, 2018 22:26 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | Exercise / conversionCommon Stock | 1,532 | $1.04 | $1,593.28 |
DisclosureSEC source: 0001683168-18-003226 · ownership.xml · nonDerivative · entry 1 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,877 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. Number of shares issued is net of number withheld for grantee taxes. No securities were bought or sold, rather restricted stock units were exercised. Read SEC document |
| October 30, 2018 Filed May 15, 2019 01:23 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | Tax withholdingCommon Stock | 1,718 | $0.98 | $1,683.64 |
DisclosureSEC source: 0001209191-19-029832 · doc5.xml · nonDerivative · entry 1 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,968 F1 · acquired: Reporting the tax withholding of shares upon vesting of the RSU dated 8/9/16 Read SEC document |
| September 28, 2018 Filed May 15, 2019 01:21 UTC Amendment | AETHLON MEDICAL INC AEMD · Entity 8580 | Tax withholdingCommon Stock | 4,015 | $1.18 | $4,737.70 |
DisclosureSEC source: 0001209191-19-029830 · doc4a.xml · nonDerivative · entry 2 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,686 Read SEC document |
| July 31, 2018 Filed Aug 1, 2018 14:33 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | ConversionRestricted Stock Units · Derivative | 3,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001683168-18-002087 · ownership.xml · derivative · entry 2 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,789 Underlying: Common Stock · 3,250 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. Number of shares issued is net of number withheld for grantee taxes. No securities were bought or sold, rather restricted stock units were exercised. F2 · derivative.exercise_date: 13,000 of the restricted stock units vested on 8/9/16, and 3,250 restricted units vested each quarter beginning 1/1/17. 22,971 restricted stock units to vest ratably on 9/30/18, 12/31/18 and 3/31/19. Represents conversion of restricted stock units with common stock issued as of 7/31/18. F2 · derivative.expiration_date: 13,000 of the restricted stock units vested on 8/9/16, and 3,250 restricted units vested each quarter beginning 1/1/17. 22,971 restricted stock units to vest ratably on 9/30/18, 12/31/18 and 3/31/19. Represents conversion of restricted stock units with common stock issued as of 7/31/18. Read SEC document |
| July 31, 2018 Filed Aug 1, 2018 14:33 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | Exercise / conversionCommon Stock | 1,562 | $1.23 | $1,921.26 |
DisclosureSEC source: 0001683168-18-002087 · ownership.xml · nonDerivative · entry 1 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,345 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. Number of shares issued is net of number withheld for grantee taxes. No securities were bought or sold, rather restricted stock units were exercised. Read SEC document |
| July 31, 2018 Filed May 15, 2019 01:21 UTC Amendment | AETHLON MEDICAL INC AEMD · Entity 8580 | Tax withholdingCommon Stock | 1,688 | $1.23 | $2,076.24 |
DisclosureSEC source: 0001209191-19-029830 · doc4a.xml · nonDerivative · entry 1 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,701 Read SEC document |
| June 19, 2018 Filed Aug 1, 2018 01:15 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | GrantRestricted Stock Units · Derivative | 22,971 | $0.00 | $0.00 |
DisclosureSEC source: 0001683168-18-002081 · ownership.xml · derivative · entry 1 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,039 Underlying: Common Stock · 22,971 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. F2 · derivative.exercise_date: 13,000 of the restricted stock units vested on 8/9/16, and 3,250 restricted units vested each quarter beginning 1/1/17. 22,971 restricted stock units to vest ratably on 9/30/18, 12/31/18 and 3/31/19. F2 · derivative.expiration_date: 13,000 of the restricted stock units vested on 8/9/16, and 3,250 restricted units vested each quarter beginning 1/1/17. 22,971 restricted stock units to vest ratably on 9/30/18, 12/31/18 and 3/31/19. Read SEC document |
| June 14, 2018 Filed May 15, 2019 01:20 UTC Amendment | AETHLON MEDICAL INC AEMD · Entity 8580 | GrantCommon Stock | 22,971 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-029828 · doc4a.xml · nonDerivative · entry 1 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,389 Read SEC document |
| April 30, 2018 Filed May 3, 2018 01:06 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | ConversionRestricted Stock Units · Derivative | 3,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001683168-18-001165 · frakes_frm4.xml · derivative · entry 2 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,068 Underlying: Common Stock · 3,250 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock, originally issued on August 9, 2016. Number of shares issued is net of number withheld for grantee taxes. No securities were bought or sold, rather restricted stock units were exercised. F2 · derivative.exercise_date: 13,000 of the restricted stock units vested on the grant date, and 3,250 restricted units will vest each quarter beginning 1/1/17. Represents conversion of restricted stock units with common stock issued as of 4/30/18. F2 · derivative.expiration_date: 13,000 of the restricted stock units vested on the grant date, and 3,250 restricted units will vest each quarter beginning 1/1/17. Represents conversion of restricted stock units with common stock issued as of 4/30/18. Read SEC document |
| April 30, 2018 Filed May 3, 2018 01:06 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | Exercise / conversionCommon Stock | 1,328 | $1.34 | $1,779.52 |
DisclosureSEC source: 0001683168-18-001165 · frakes_frm4.xml · nonDerivative · entry 1 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,783 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock, originally issued on August 9, 2016. Number of shares issued is net of number withheld for grantee taxes. No securities were bought or sold, rather restricted stock units were exercised. Read SEC document |
| April 30, 2018 Filed May 15, 2019 01:19 UTC Amendment | AETHLON MEDICAL INC AEMD · Entity 8580 | Tax withholdingCommon Stock | 1,922 | $1.34 | $2,575.48 |
DisclosureSEC source: 0001209191-19-029827 · doc4a.xml · nonDerivative · entry 1 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,418 Read SEC document |
| January 31, 2018 Filed Feb 3, 2018 01:31 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | ConversionRestricted Stock Units · Derivative | 3,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001683168-18-000293 · frakes_frm4.xml · derivative · entry 2 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,318 Underlying: Common Stock · 3,250 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock, originally issued on August 9, 2016. Number of shares issued is net of number withheld for grantee taxes. No securities were bought or sold, rather restricted stock units were exercised. F2 · derivative.exercise_date: 13,000 of the restricted stock units vested on the grant date, and 3,250 restricted units will vest each quarter beginning 1/1/17. Represents conversion of restricted stock units with common stock issued as of 1/31/18. F2 · derivative.expiration_date: 13,000 of the restricted stock units vested on the grant date, and 3,250 restricted units will vest each quarter beginning 1/1/17. Represents conversion of restricted stock units with common stock issued as of 1/31/18. Read SEC document |
| January 31, 2018 Filed Feb 3, 2018 01:31 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | Exercise / conversionCommon Stock | 1,393 | $1.50 | $2,089.50 |
DisclosureSEC source: 0001683168-18-000293 · frakes_frm4.xml · nonDerivative · entry 1 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,455 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock, originally issued on August 9, 2016. Number of shares issued is net of number withheld for grantee taxes. No securities were bought or sold, rather restricted stock units were exercised. Read SEC document |
| January 31, 2018 Filed May 15, 2019 01:18 UTC Amendment | AETHLON MEDICAL INC AEMD · Entity 8580 | Tax withholdingCommon Stock | 1,857 | $1.50 | $2,785.50 |
DisclosureSEC source: 0001209191-19-029825 · doc4a.xml · nonDerivative · entry 1 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,340 Read SEC document |
| October 30, 2017 Filed Nov 3, 2017 14:30 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | ConversionRestricted Stock Units · Derivative | 3,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001683168-17-002823 · frakes_frm4.xml · derivative · entry 2 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,568 Underlying: Common Stock · 3,250 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock, originally issued on August 9, 2016. Number of shares issued is net of number withheld for grantee taxes. No securities were bought or sold, rather restricted stock units were exercised. F2 · derivative.exercise_date: 13,000 of the restricted stock units vested on the grant date, and 3,250 restricted units will vest each quarter beginning 1/1/17. Represents conversion of restricted stock units with common stock issued as of October 30, 2017. F2 · derivative.expiration_date: 13,000 of the restricted stock units vested on the grant date, and 3,250 restricted units will vest each quarter beginning 1/1/17. Represents conversion of restricted stock units with common stock issued as of October 30, 2017. Read SEC document |
| October 30, 2017 Filed Nov 3, 2017 14:30 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | Exercise / conversionCommon Stock | 1,565 | $0.98 | $1,533.70 |
DisclosureSEC source: 0001683168-17-002823 · frakes_frm4.xml · nonDerivative · entry 1 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,062 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock, originally issued on August 9, 2016. Number of shares issued is net of number withheld for grantee taxes. No securities were bought or sold, rather restricted stock units were exercised. Read SEC document |
| October 11, 2017 Filed Oct 13, 2017 15:50 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | ConversionRestricted Stock Units · Derivative | 3,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001683168-17-002649 · frakes_frm4.xml · derivative · entry 2 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,818 Underlying: Common Stock · 3,250 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock, originally issued on August 9, 2016. Number of shares issued is net of number withheld for grantee taxes. No securities were bought or sold, rather restricted stock units were exercised. F2 · derivative.exercise_date: 13,000 of the restricted stock units vested on the grant date, and 3,250 restricted units will vest each quarter beginning 1/1/17. Represents conversion of restricted stock units with common stock issued as of October 11, 2017. F2 · derivative.expiration_date: 13,000 of the restricted stock units vested on the grant date, and 3,250 restricted units will vest each quarter beginning 1/1/17. Represents conversion of restricted stock units with common stock issued as of October 11, 2017. Read SEC document |
| October 11, 2017 Filed Oct 13, 2017 15:50 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | Exercise / conversionCommon Stock | 1,565 | $1.14 | $1,784.10 |
DisclosureSEC source: 0001683168-17-002649 · frakes_frm4.xml · nonDerivative · entry 1 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,497 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock, originally issued on August 9, 2016. Number of shares issued is net of number withheld for grantee taxes. No securities were bought or sold, rather restricted stock units were exercised. Read SEC document |
| September 28, 2017 Filed May 15, 2019 01:15 UTC Amendment | AETHLON MEDICAL INC AEMD · Entity 8580 | Tax withholdingCommon Stock | 1,685 | $1.14 | $1,920.90 |
DisclosureSEC source: 0001209191-19-029822 · doc4a.xml · nonDerivative · entry 1 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,197 Read SEC document |
| May 01, 2017 Filed May 2, 2017 15:55 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | Disposition to issuerRestricted Stock Units · Derivative | 1,594 | $0.00 | $0.00 |
DisclosureSEC source: 0001683168-17-001074 · frakes_f4-050117.xml · derivative · entry 2 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,068 Underlying: Common Stock · 1,594 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock, originally issued on August 9, 2016. F2 · derivative.exercise_date: 13,000 of the restricted stock units vested on the grant date, and 3,250 restricted stock units will vest each quarter beginning 1/1/17. Represents conversion of restricted stock units with common stock issued on May 1, 2017 (and effective April 28, 2017). F2 · derivative.expiration_date: 13,000 of the restricted stock units vested on the grant date, and 3,250 restricted stock units will vest each quarter beginning 1/1/17. Represents conversion of restricted stock units with common stock issued on May 1, 2017 (and effective April 28, 2017). Read SEC document |
| May 01, 2017 Filed May 2, 2017 15:55 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | Exercise / conversionCommon Stock | 1,594 | $2.23 | $3,554.62 |
DisclosureSEC source: 0001683168-17-001074 · frakes_f4-050117.xml · nonDerivative · entry 1 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,932 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock, originally issued on August 9, 2016. Read SEC document |
| April 30, 2017 Filed May 15, 2019 01:14 UTC Amendment | AETHLON MEDICAL INC AEMD · Entity 8580 | Tax withholdingCommon Stock | 1,656 | $2.23 | $3,692.88 |
DisclosureSEC source: 0001209191-19-029819 · doc4a.xml · nonDerivative · entry 1 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,882 Read SEC document |
| February 07, 2017 Filed Feb 8, 2017 19:53 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | Disposition to issuerRestricted Stock Units · Derivative | 7,338 | $0.00 | $0.00 |
DisclosureSEC source: 0001683168-17-000255 · frakes_f4.xml · derivative · entry 2 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,662 Underlying: Common Stock · 7,338 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock, originally issued on August 9, 2016. F2 · derivative.exercise_date: 13,000 of the restricted stock units vested on the grant date, and 3,250 restricted stock units will vest each quarter beginning 1/1/17. Represents conversion of restricted stock units with common stock issued on February 7, 2017. F2 · derivative.expiration_date: 13,000 of the restricted stock units vested on the grant date, and 3,250 restricted stock units will vest each quarter beginning 1/1/17. Represents conversion of restricted stock units with common stock issued on February 7, 2017. Read SEC document |
| February 07, 2017 Filed Feb 8, 2017 19:53 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | Exercise / conversionCommon Stock | 7,338 | $4.28 | $31,406.64 |
DisclosureSEC source: 0001683168-17-000255 · frakes_f4.xml · nonDerivative · entry 1 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,338 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 31, 2017 Filed May 15, 2019 01:11 UTC Amendment | AETHLON MEDICAL INC AEMD · Entity 8580 | Tax withholdingCommon Stock | 5,662 | $4.28 | $24,233.36 |
DisclosureSEC source: 0001209191-19-029817 · doc4a.xml · nonDerivative · entry 1 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,538 Read SEC document |
| August 09, 2016 Filed May 15, 2019 01:08 UTC Amendment | AETHLON MEDICAL INC AEMD · Entity 8580 | GrantCommon Stock | 52,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-029816 · doc4a.xml · nonDerivative · entry 1 FRAKES JAMES B · CIK 0001185553 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,200 F1 · acquired: RSU was originally reported in Table II of the Reporting Person's Form 4 filed 08/11/2016. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.