Every Form 4 that AETHLON MEDICAL INC (AEMD) has filed with the SEC in the last 12 months is listed below, newest first, and each one links through to the document itself with the summary and the scores our analysis gives it.
A Form 4 covers the transactions officers, directors and large holders report, so if you follow AEMD and want that one kind of document rather than the whole filing history, this is the page to keep. The company's other filings, of every form, are on the full AEMD filings page.
Aethlon Medical Inc. Chief Medical Officer Steven P. Larosa acquired 42,000 restricted stock units (RSUs) on October 8, 2026, under the company's 2020 Equity Incentive Plan, as amended. Each RSU is a contingent right to receive one common share upon settlement. The units vest over the one-year period following October 8, 2026, subject to continued service through applicable vesting dates, and will become fully vested upon closing of Aethlon Medical's proposed merger with North Immunology, Inc. Larosa's reported direct holdings following the grant were 42,057 shares.
Aethlon Medical Inc. (AEMD) director Chetan Shah forfeited 436 shares on September 30, 2026, to cover tax withholdings when 1,091 vested and outstanding restricted stock units converted into common stock. The reported market price was $6.52 per share. A footnote corrects the post-transaction beneficial-ownership figure to 23,278 shares to address a typographical error.
Aethlon Medical (AEMD) director Angela Rossetti received a grant of 21,815 RSUs on April 17, 2026; the transaction reports $2.29 per share. The RSUs vest in four equal quarterly installments on June 30, 2026, September 30, 2026, December 31, 2026, and March 31, 2027, subject to continued service on each date. The amendment corrects her post-transaction beneficially owned share count to 24,222 shares, rather than the 26,207 shares previously shown, to account for Aethlon Medical’s recent reverse stock split.
Nicolas Gikakis, a director of Aethlon Medical (AEMD), forfeited 436 shares of common stock on September 30, 2026, to cover tax withholdings when 1,091 vested restricted stock units converted into shares. The shares were valued at $6.52 per share, the market price at forfeiture. A footnote corrects his beneficial ownership after the transaction to 23,279 shares.
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.
Aethlon Medical Inc. (AEMD) director and CFO/CEO James B. Frakes received 42,000 restricted stock units (RSUs) under the company's 2020 Equity Incentive Plan. The RSUs vest over the one-year period following October 8, 2026, subject to continued service, and become fully vested upon closing of the proposed merger with North Immunology, Inc. Each RSU represents a contingent right to receive one common share upon settlement. His reported direct holdings following the grant were 42,063 shares.
Aethlon Medical Inc. director Chetan Shah reported a routine tax-related share forfeiture tied to equity compensation. On this Form 4, he forfeited 2,182 shares of common stock to cover tax withholdings when 5,454 vested restricted stock units converted into common shares.
The forfeiture was priced using the issuer’s market price of $0.82 per share at the time. Following this tax-withholding disposition, Shah directly holds 20,840 shares of Aethlon Medical common stock, reflecting his continuing equity stake after the RSU vesting event.
Aethlon Medical director Nicolas Gikakis reported a routine tax-related share withholding. Upon conversion of 5,454 vested restricted stock units into common stock, 2,182 shares were forfeited at a market price of $0.82 per share to cover taxes. After this non-market disposition, he directly holds 20,663 common shares.
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.
Rossetti Angela reported acquisition or exercise transactions in this Form 4 filing.
Aethlon Medical director Angela Rossetti received an equity award of 21,815 shares of Common Stock at $2.29 per share. The award is structured as RSUs that vest in four equal quarterly installments on June 30, 2026, September 30, 2026, December 31, 2026, and March 31, 2027, contingent on her continued service. Following this grant, she directly owns 26,207 shares.
Shah Chetan reported acquisition or exercise transactions in this Form 4 filing.
Aethlon Medical director Chetan Shah received a stock-based compensation grant. He was awarded 21,815 shares of Common Stock at a reference price of $2.29 per share, classified as a grant or award, increasing his directly held stake to 23,021 shares.
The award represents RSUs that vest in four equal quarterly installments on June 30, 2026, September 30, 2026, December 31, 2026 and March 31, 2027, conditioned on his continued service with the company on each vesting date. This is a routine compensation-related equity grant rather than an open-market purchase.
BROENNIMAN EDWARD G reported acquisition or exercise transactions in this Form 4 filing.
Aethlon Medical Inc director Edward G. Broenniman reported an equity award of 21,815 shares of Common Stock at $2.29 per share. The award is in the form of RSUs that vest in four equal quarterly installments on June 30, 2026, September 30, 2026, December 31, 2026, and March 31, 2027, subject to his continued service with the company on each vesting date. Following this grant, he directly holds 23,454 shares of Aethlon Medical common stock.
Aethlon Medical Inc. director Nicolas Gikakis received a stock-based compensation award in the form of 21,815 shares of common stock on April 17, 2026. The award is structured as restricted stock units that vest in four equal quarterly installments on June 30, 2026, September 30, 2026, December 31, 2026 and March 31, 2027, conditioned on his continued service with the company. Following this grant, he directly holds 22,844 shares of Aethlon Medical common stock. This filing reflects a compensation-related acquisition rather than an open-market purchase.
Aethlon Medical director Chetan Shah reported a tax-related share forfeiture tied to equity compensation. On conversion of 268 vested restricted stock units into common stock, he forfeited 178 shares at $2.19 per share to cover tax withholdings, based on the market price at the time.
Following this non-market transaction, Shah directly holds 1,463 shares of Aethlon Medical common stock. The disposition reflects routine tax settlement rather than an open-market sale or purchase decision.
Aethlon Medical director Nicolas Gikakis reported a tax-related share forfeiture. On the conversion of 268 vested restricted stock units into common stock, he forfeited 178 shares to cover tax withholdings, using a market price of $2.19 per share. Following the disposition, he holds 1,464 common shares directly.
Aethlon Medical director Edward G. Broenniman reported a routine tax-withholding disposition related to restricted stock units. He forfeited 89 shares of common stock, valued at $2.19 per share, to cover taxes upon conversion of 357 vested RSUs. After this transaction, he directly holds 1,915 shares.