Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AETHLON MEDICAL INCAEMD · Entity 8580 | Director | September 30, 2016 | October 04, 2016 |
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 September 30, 2016 · Filed October 04, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 10,340 |
Reported balance
After 2016-09-30 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2016-09-30 · Exercise / conversion · Acquired 821 · Balance 10,340 F1: Represents the settlement in common stock of previously issued restricted stock units upon vesting of such units, net of shares of common stock withheld by the issuer to satisfy the tax obligation of the reporting person (transaction code F) due upon vesting of the units. A total of 1,368 shares of common stock were issuable upon vesting of the units, and 547 shares were withheld by the issuer. The issuer paid the reporting person $4.99 per share of common stock withheld, which the reporting person is to use to pay his tax obligation related to the vesting of the units. F2: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. F3: In addition to the currently outstanding shares of common stock owned by the reporting person and reported here, the reporting person also beneficially owns the shares of common stock underlying the following stock options: options to purchase 10,000 shares of common stock at $20.50 per share, options to purchase 10,000 shares of common stock at $12.50 per share, options to purchase 9,211 shares of common stock at $3.80 per share, options to purchase 8,537 shares of common stock at $4.10 per share, and options to purchase 3,684 shares of common stock at $9.50 per share. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 2,736 |
Reported balance
After 2016-09-30 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2016-09-30 · Exercise / conversion · Disposed 1,368 · Balance 2,736 F2: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. F4: 12,328 of the restricted stock units vested on the grant date, 8/9/16, and 1,368 of the remaining restricted stock units vested or will vest on each of 9/30/16, 12/31/16 and 3/31/17. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the settlement in common stock of previously issued restricted stock units upon vesting of such units, net of shares of common stock withheld by the issuer to satisfy the tax obligation of the reporting person (transaction code F) due upon vesting of the units. A total of 1,368 shares of common stock were issuable upon vesting of the units, and 547 shares were withheld by the issuer. The issuer paid the reporting person $4.99 per share of common stock withheld, which the reporting person is to use to pay his tax obligation related to the vesting of the units.
F2: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.
F3: In addition to the currently outstanding shares of common stock owned by the reporting person and reported here, the reporting person also beneficially owns the shares of common stock underlying the following stock options: options to purchase 10,000 shares of common stock at $20.50 per share, options to purchase 10,000 shares of common stock at $12.50 per share, options to purchase 9,211 shares of common stock at $3.80 per share, options to purchase 8,537 shares of common stock at $4.10 per share, and options to purchase 3,684 shares of common stock at $9.50 per share.
F4: 12,328 of the restricted stock units vested on the grant date, 8/9/16, and 1,368 of the remaining restricted stock units vested or will vest on each of 9/30/16, 12/31/16 and 3/31/17.
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 |
|---|---|---|---|---|---|---|
| September 30, 2016 Filed Oct 4, 2016 23:29 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | Exercise / conversionRestricted Stock Units · Derivative | 1,368 | $0.00 | $0.00 |
DisclosureSEC source: 0001683168-16-000247 · barry_frm4-100416.xml · derivative · entry 2 BARRY FRANKLYN S JR · CIK 0001254761 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,736 Underlying: Common Stock · 1,368 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. F2 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. F4 · derivative.exercise_date: 12,328 of the restricted stock units vested on the grant date, 8/9/16, and 1,368 of the remaining restricted stock units vested or will vest on each of 9/30/16, 12/31/16 and 3/31/17. F4 · derivative.expiration_date: 12,328 of the restricted stock units vested on the grant date, 8/9/16, and 1,368 of the remaining restricted stock units vested or will vest on each of 9/30/16, 12/31/16 and 3/31/17. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 23:29 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | Exercise / conversionCommon Stock | 821 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001683168-16-000247 · barry_frm4-100416.xml · nonDerivative · entry 1 BARRY FRANKLYN S JR · CIK 0001254761 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,340 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 · kind: Represents the settlement in common stock of previously issued restricted stock units upon vesting of such units, net of shares of common stock withheld by the issuer to satisfy the tax obligation of the reporting person (transaction code F) due upon vesting of the units. A total of 1,368 shares of common stock were issuable upon vesting of the units, and 547 shares were withheld by the issuer. The issuer paid the reporting person $4.99 per share of common stock withheld, which the reporting person is to use to pay his tax obligation related to the vesting of the units. F2 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. F3 · balance_after: In addition to the currently outstanding shares of common stock owned by the reporting person and reported here, the reporting person also beneficially owns the shares of common stock underlying the following stock options: options to purchase 10,000 shares of common stock at $20.50 per share, options to purchase 10,000 shares of common stock at $12.50 per share, options to purchase 9,211 shares of common stock at $3.80 per share, options to purchase 8,537 shares of common stock at $4.10 per share, and options to purchase 3,684 shares of common stock at $9.50 per share. Read SEC document |
| September 01, 2016 Filed Sep 6, 2016 18:54 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | Exercise / conversionRestricted Stock Units · Derivative | 12,328 | $0.00 | $0.00 |
DisclosureSEC source: 0001683168-16-000019 · barry_frm4.xml · derivative · entry 3 BARRY FRANKLYN S JR · CIK 0001254761 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,104 Underlying: Common Stock · 12,328 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. F2 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. For tax purposes, each share of common stock was valued at $6.28, the closing price of the common stock on 8/9/16, the date of grant. F5 · derivative.exercise_date: 12,328 of the restricted stock units vested on the grant date, 8/9/16, and 1,368 of the remaining restricted stock units will vest on each of 9/30/16, 12/31/16 and 3/31/17. F5 · derivative.expiration_date: 12,328 of the restricted stock units vested on the grant date, 8/9/16, and 1,368 of the remaining restricted stock units will vest on each of 9/30/16, 12/31/16 and 3/31/17. Read SEC document |
| September 01, 2016 Filed Sep 6, 2016 18:54 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | Tax withholdingCommon Stock | 4,931 | $6.28 | $30,966.68 |
DisclosureSEC source: 0001683168-16-000019 · barry_frm4.xml · nonDerivative · entry 2 BARRY FRANKLYN S JR · CIK 0001254761 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,519 F4 · shares: Represents shares of common stock withheld and deemed sold to the issuer to satisfy the tax obligation of the reporting person due upon vesting of the restricted stock units. F3 · balance_after: In addition to the currently outstanding shares of common stock owned by the reporting person and reported here, the reporting person also beneficially owns the shares of common stock underlying the following stock options and restricted stock units: options to purchase 10,000 shares of common stock at $20.50 per share, options to purchase 10,000 shares of common stock at $12.50 per share, options to purchase 9,211 shares of common stock at $3.80 per share, options to purchase 8,537 shares of common stock at $4.10 per share, options to purchase 3,684 shares of common stock at $9.50 per share and 1,368 restricted stock units. Read SEC document |
| September 01, 2016 Filed Sep 6, 2016 18:54 UTC | AETHLON MEDICAL INC AEMD · Entity 8580 | Exercise / conversionCommon Stock | 12,328 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001683168-16-000019 · barry_frm4.xml · nonDerivative · entry 1 BARRY FRANKLYN S JR · CIK 0001254761 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,450 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 · kind: Represents the settlement in common stock of previously issued restricted stock units upon vesting of such units. F2 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. For tax purposes, each share of common stock was valued at $6.28, the closing price of the common stock on 8/9/16, the date of grant. F3 · balance_after: In addition to the currently outstanding shares of common stock owned by the reporting person and reported here, the reporting person also beneficially owns the shares of common stock underlying the following stock options and restricted stock units: options to purchase 10,000 shares of common stock at $20.50 per share, options to purchase 10,000 shares of common stock at $12.50 per share, options to purchase 9,211 shares of common stock at $3.80 per share, options to purchase 8,537 shares of common stock at $4.10 per share, options to purchase 3,684 shares of common stock at $9.50 per share and 1,368 restricted stock units. 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.