Filing Details
- Accession Number:
- 0001763113-19-000008
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-11-13 18:46:27
- Reporting Period:
- 2019-11-13
- Accepted Time:
- 2019-11-13 18:46:27
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 744452 | Applied Dna Sciences Inc | APDN | Services-Miscellaneous Business Services (7380) | 592262718 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1763113 | W William Montgomery | 34211 Seavey Loop Rd. Eugene OR 97405 | No | No | No | Yes |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Applied Dna Sciences Inc. Common Stock | Acquisiton | 2019-11-13 | 75,000 | $5.24 | 225,774 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Applied Dna Sciences, Inc. Common Stock | Applied DNA Sciences Inc. 5 year warrant | Acquisiton | 2019-11-13 | 75,000 | $0.01 | 75,000 | $5.25 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 75,000 | 2019-11-15 | 2024-11-15 | No | 4 | P | Direct |
Footnotes
- Shares purchased in $12 million underwritten public offering by Maxim Group LLC
- Previously reported 6,030.900 shares reduced to 150,774 shares in 1 for 40 reverse split on 11/1/19
- With the increase in APDN common shares outstanding from the $12 million public underwritten offering on 11/13/19, my percentage ownership is now below the 10% ownership level but still above the 5% ownership level requiring SEC reporting
Billionaire Hedge Funds
