Filing Details
- Accession Number:
- 0001213900-23-096961
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-12-19 16:34:09
- Reporting Period:
- 2023-12-15
- Accepted Time:
- 2023-12-19 16:34:09
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
879911 | Applied Energetics Inc. | AERG | Search, Detection, Navagation, Guidance, Aeronautical Sys (3812) | 770262908 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1728043 | Thomas Bradford Adamczyk | C/O Applied Energetics, Inc. 9070 S. Rita Road, Suite 1500 Tucson AZ 85747 | Executive Chairman | Yes | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock, Par Value $0.001 Per Share | Acquisiton | 2023-12-15 | 10,000 | $0.07 | 681,482 | No | 4 | M | Direct | |
Common Stock, Par Value $0.001 Per Share | Disposition | 2023-12-15 | 10,000 | $2.14 | 671,482 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock, Par Value $.001 Per Share | Non-Qualified Stock Options | Disposition | 2023-12-15 | 10,000 | $0.00 | 10,000 | $0.07 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
1,460,000 | 2020-02-12 | 2028-11-12 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock, Par Value $0.001 Per Share | 1,563,599 | Indirect | See Footnote |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock, Par Value $.001 Per Share | Non-Qualified Stock Options | $0.07 | 2020-02-12 | 2028-11-12 | 0 | 3,500,000 | Indirect |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2028-11-12 | 0 | 3,500,000 | Indirect |
Footnotes
- Reflects the weighted average price of multiple trades executed at prices ranging from $2.12 to $2.16. The reporting person undertakes to provide upon request to the SEC staff full information regarding the number of shares and prices at which the transaction was effected. Such shares were sold pursuant to a 10b-5 Plan which was adopted by Mr. Adamczyk on June 15, 2023.
- Held by Moriah Stone Global L.P. of which Mr. Adamczyk is controlling partner.
- Options were issued in exchange for services rendered as an officer and director of the company.
- 3,500,000 of Mr. Adamczyk's options are held in the name of Adamczyk Family 2021 LLC, a family limited liability company which he controls. None of these options were exercised.