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Home > Insider Trading > Filing (0001763113-19-000008)

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

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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

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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