Aethlon Medical director forfeits shares for taxes

BROENNIMAN EDWARD G reported disposition transactions in this Form 4 filing.

Rhea-AI Filing Summary

BROENNIMAN EDWARD G reported disposition transactions in this Form 4 filing.

Aethlon Medical director Edward G. Broenniman reported a routine tax-related share forfeiture. On conversion of 5,454 vested restricted stock units into common shares, he forfeited 1,091 shares to cover tax withholdings at a market price of $0.82 per share. After this transaction, he directly holds 22,363 shares of common stock.

Insider Trade Summary

Exercise Price or Tax Liability: 1,091 shares

Exercise Price or Tax Liability 1 txn

Insider BROENNIMAN EDWARD G

Role Director

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock	1,091	$0.82	$894.62

Holdings After Transaction: Common Stock — 22,363 shares (Direct)

Footnotes (1)

1. F1. The Reporting Person forfeited 1,091 shares of common stock upon conversion of an aggregate 5,454 vested and outstanding restricted stock units into shares of common stock to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture. These restricted stock units were part of the grant reported in Table I of the Form 4 filed by the Reporting Person with the Securities and Exchange Commission on April 17, 2026.

Key Figures

Shares forfeited for taxes: 1,091 shares Tax-withholding price: $0.82/share RSUs converted: 5,454 units +1 more

4 metrics

Shares forfeited for taxes 1,091 shares Common stock forfeited to cover tax withholdings

Tax-withholding price $0.82/share Market price used for tax-withholding forfeiture

RSUs converted 5,454 units Vested restricted stock units converted into common shares

Shares held after transaction 22,363 shares Director’s direct common stock holdings post-transaction

Key Terms

restricted stock units, tax withholdings, forfeited, vested and outstanding

4 terms

restricted stock units financial

"conversion of an aggregate 5,454 vested and outstanding restricted stock units into shares of common stock"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

tax withholdings financial

"into shares of common stock to cover tax withholdings, using the market price"

forfeited financial

"The Reporting Person forfeited 1,091 shares of common stock upon conversion"

vested and outstanding financial

"conversion of an aggregate 5,454 vested and outstanding restricted stock units"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did Aethlon Medical (AEMD) report for Edward G. Broenniman?

Aethlon Medical director Edward G. Broenniman reported forfeiting 1,091 common shares. The shares were surrendered to cover tax withholdings when 5,454 vested restricted stock units converted into common stock, rather than being sold on the open market.

Was the AEMD Form 4 transaction an open-market sale of shares?

No, the Form 4 shows a tax-withholding disposition, not an open-market sale. Shares were forfeited back to cover taxes owed upon conversion of vested restricted stock units into common stock for the director.

How many Aethlon Medical shares did the director forfeit for taxes?

The director forfeited 1,091 shares of Aethlon Medical common stock. The forfeiture price used was $0.82 per share, based on the market price at the time of the tax-withholding transaction.

How many restricted stock units vested for the AEMD director in this Form 4?

An aggregate 5,454 restricted stock units vested and converted into common shares. As part of this conversion, 1,091 of the resulting shares were forfeited to satisfy tax-withholding obligations for the reporting person.

What are Edward G. Broenniman’s Aethlon Medical holdings after this transaction?

Following the tax-withholding forfeiture, Edward G. Broenniman directly holds 22,363 shares of Aethlon Medical common stock. This figure reflects his updated position after the restricted stock units converted and a portion was surrendered for taxes.

What does code "F" mean in the Aethlon Medical Form 4 filing?

Code "F" on the Form 4 indicates a disposition to pay tax liability or exercise price. In this case, the reporting person forfeited 1,091 shares of common stock specifically to cover tax-withholding obligations tied to vested restricted stock units.

AI-generated analysis. How Rhea-AI works. Not financial advice.

Form 4 Insider Transactions: What Each Field Means →

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

Accepted by SEC EDGAR 07/01/2026 - 05:15 PM EDT Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

BROENNIMAN EDWARD G

(Last) (First) (Middle)

11555 SORRENTO VALLEY RD, STE 203

(Street)

SAN DIEGO CALIFORNIA 92121

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
AETHLON MEDICAL INC [ AEMD ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/30/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	06/30/2026		F		1,091(1)	D	$0.82	22,363	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. The Reporting Person forfeited 1,091 shares of common stock upon conversion of an aggregate 5,454 vested and outstanding restricted stock units into shares of common stock to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture. These restricted stock units were part of the grant reported in Table I of the Form 4 filed by the Reporting Person with the Securities and Exchange Commission on April 17, 2026.

	/s/ Edward G. Broenniman by: James B. Frakes, Attorney-in-fact	07/01/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)