Aethlon Medical director forfeits 218 shares for taxes

A footnote corrects Broenniman’s post-transaction beneficial-ownership figure, while the transaction row reports his direct-share balance separately.

Rhea-AI Filing Summary

Aethlon Medical Inc. (AEMD) director Edward G. Broenniman forfeited 218 common shares on September 30, 2026, at $6.52 per share to cover tax withholdings when 1,091 vested restricted stock units converted into shares. The transaction row reports 4,313 directly held shares afterward; a footnote says beneficial ownership following the transaction should be 23,730 shares, correcting an earlier typographical error. No Rule 10b5-1 plan is reported.

Insider Trade Summary

Tax Withholding: 218 shares

Tax Withholding 1 txn

Insider BROENNIMAN EDWARD G

Role Director

Type	Security	Shares	Price	Value
Tax Withholding	Common Stock F1, F2	218	$6.52	$1K

Holdings After Transaction: Common Stock — 4,313 shares (Direct)

Footnotes (2)

1. F1. The Reporting Person forfeited 218 shares of common stock upon conversion of an aggregate 1,091 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.
2. F2. The amount of securities beneficially owned is being amended to account for a typographical error in the Form 4 filed on April 21, 2026. The number of shares beneficially owned following the reported transaction was shown as 23,454 shares, but should have been 23,730.

Key Figures

Shares forfeited for tax withholdings: 218 shares Market price at forfeiture: $6.52 per share Vested and outstanding restricted stock units converted: 1,091 units +2 more

5 metrics

Shares forfeited for tax withholdings 218 shares September 30, 2026

Market price at forfeiture $6.52 per share September 30, 2026

Vested and outstanding restricted stock units converted 1,091 units Converted into common shares to cover tax withholdings

Direct common shares after transaction 4,313 shares As reported in the transaction row

Beneficial ownership after transaction 23,730 shares Corrected amount stated in a footnote

Key Terms

restricted stock units, tax withholdings, beneficially owned

3 terms

restricted stock units financial

"1,091 vested and outstanding restricted stock units"

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

"to cover tax withholdings"

beneficially owned financial

"amount of securities beneficially owned"

Beneficially owned describes securities or assets where a person has the economic rights and control—such as the right to receive dividends and to direct voting—even if legal title is held in another name. Think of it like having the keys and using a car that’s registered to someone else: you get the benefits and make decisions. Investors care because beneficial ownership reveals who truly controls value and voting power, affecting corporate decisions and takeover dynamics.

FAQ

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

How many AEMD shares did Edward G. Broenniman forfeit, and at what price?

Edward G. Broenniman forfeited 218 common shares at $6.52 per share on September 30, 2026, to cover tax withholdings. The shares related to conversion of 1,091 vested and outstanding restricted stock units.

How many AEMD shares did Edward G. Broenniman hold after the transaction?

The transaction row reports 4,313 directly held shares afterward. A footnote corrects the reported beneficial ownership following the transaction to 23,730 shares, replacing the earlier figure of 23,454 shares.

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

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Available on EDGAR 10/15/2026 - 12:49 PM EDT Accepted by SEC EDGAR 10/15/2026 - 12:48 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)
09/30/2026

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	09/30/2026		F		218(1)	D	$6.52	4,313(2)	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 218 shares of common stock upon conversion of an aggregate 1,091 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.

2. The amount of securities beneficially owned is being amended to account for a typographical error in the Form 4 filed on April 21, 2026. The number of shares beneficially owned following the reported transaction was shown as 23,454 shares, but should have been 23,730.

	/s/ Edward G. Broenniman by: James B. Frakes, Attorney-in-fact	10/15/2026
	** 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)