13G Filing: Empery Asset Management, Lp and Aethlon Medical Inc (NASDAQ:AEMD)

Page 2 of 9 – SEC Filing

1

NAMES OF REPORTING PERSONS

Empery Asset Management, LP

2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ¨

(b) ¨

3 SEC USE ONLY
4

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
5

SOLE VOTING POWER

6

SHARED VOTING POWER

773,000 shares of Common Stock

813,096 shares of Common Stock issuable upon exercise
of Warrants (See Item 4)*

7

SOLE DISPOSITIVE POWER

8

SHARED DISPOSITIVE POWER

773,000 shares of Common Stock

813,096 shares of Common Stock issuable upon exercise
of Warrants (See Item 4)*

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

773,000 shares of Common Stock

813,096 shares of Common Stock issuable upon exercise
of Warrants (See Item 4)*

10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

8.79% (See Item 4)*

12

TYPE OF REPORTING PERSON

PN

* As more fully described in Item 4, the Warrants are subject to
a 4.99% blocker, and the percentage set forth in row (11) gives effect to such blockers. However, as more fully described in Item
4, the securities reported in rows (6), (8) and (9) show the number of shares of Common Stock that would be issuable upon full
exercise of such reported securities and do not give effect to such blockers. Therefore, the actual number of shares of Common
Stock beneficially owned by such Reporting Person, after giving effect to such blockers, is less than the number of securities
reported in rows (6), (8) and (9).

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