AEMD Form 4: Director Forfeits 893 Shares to Cover Taxes

Edward G. Broenniman, a director of Aethlon Medical, Inc. (AEMD), reported a change in beneficial ownership on 09/30/2025.

Rhea-AI Filing Summary

Edward G. Broenniman, a director of Aethlon Medical, Inc. (AEMD), reported a change in beneficial ownership on 09/30/2025. He disposed of 893 shares of common stock at an implied price of $0.749 per share as shown on the Form 4, leaving him with 25,397 shares beneficially owned. The filing explains the 893 shares were forfeited to satisfy tax withholding when 4,465 vested restricted stock units were converted into shares; those RSUs were part of a grant previously reported on April 25, 2025. The Form 4 was signed on behalf of Mr. Broenniman by an attorney-in-fact on 10/02/2025.

Insights

Corporate Governance Specialist

Routine tax-withholding share forfeiture by a director; no new grants disclosed.

This Form 4 records a forfeiture of 893 shares to cover taxes on the conversion of 4,465 vested RSUs, which is a common administrative step following vesting. The director’s beneficial ownership after the transaction is 25,397 shares, which remains disclosed on record.

The filing references a prior grant reported April 25, 2025, but does not disclose any new awards or material changes to compensation terms in this report.

Equity Compensation Analyst

Share withholding used to settle tax on RSU vesting; transaction reduces outstanding director-held shares.

The report states 4,465 RSUs vested and converted into shares while 893 shares were withheld at a market-based value of $0.749 per share for tax withholding. This reduces net share issuance from the vesting event and is an internal compensation settlement mechanism rather than a market sale.

Insider Trade Summary

Exercise Price or Tax Liability: 893 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	893	$0.749	$668.86

Holdings After Transaction: Common Stock — 25,397 shares (Direct)

Footnotes (1)

1. F1. The Reporting Person forfeited 893 shares of common stock upon conversion of an aggregate 4,465 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 25, 2025.

FAQ

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

What transaction did AEMD director Edward G. Broenniman report on Form 4?

He reported the disposition of 893 shares on 09/30/2025 as withholding to cover taxes when 4,465 vested RSUs converted to common stock.

How many AEMD shares does Edward G. Broenniman beneficially own after the transaction?

The Form 4 shows he beneficially owns 25,397 shares following the reported transaction.

What price was used for the withheld shares in the Form 4?

The filing lists an implied price of $0.749 per share for the 893 shares withheld.

Were the vested RSUs part of a previously reported grant?

Yes. The 4,465 vested RSUs were part of a grant reported in the Form 4 filed by the reporting person on April 25, 2025.

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

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Accepted by SEC EDGAR 10/02/2025 - 04:15 PM 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).

1. Name and Address of Reporting Person^*

BROENNIMAN EDWARD G

(Last) (First) (Middle)

11555 SORRENTO VALLEY ROAD, SUITE 203

(Street)

SAN DIEGO CA 92121

(City) (State) (Zip)

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)

3. Date of Earliest Transaction (Month/Day/Year)
09/30/2025

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

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

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

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	09/30/2025		F		893(1)	D	$0.749	25,397	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 893 shares of common stock upon conversion of an aggregate 4,465 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 25, 2025.

	/s/ Edward G. Broenniman by: James B. Frakes, Attorney-in-fact	10/02/2025
	** 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.
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