Filing Details
- Accession Number:
- 0001213900-24-006118
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2024-01-24 16:30:14
- Reporting Period:
- 2024-01-22
- Accepted Time:
- 2024-01-24 16:30:14
- 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 |
|---|---|---|---|---|---|---|---|
| 1776289 | James Gregory Quarles | C/O Applied Energetics, Inc. 9070 S. Rita Road, Suite 1500 Tucson AZ 85747 | President And Ceo | 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 | 2024-01-22 | 10,000 | $0.35 | 10,000 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.001 Per Share | Disposition | 2024-01-22 | 10,000 | $1.90 | 0 | 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 | 2024-01-22 | 10,000 | $0.00 | 10,000 | $0.35 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 4,960,000 | 2019-11-18 | 2029-04-18 | No | 4 | M | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock, Par Value $.001 Per Share | Restricted Stock Units | $0.00 | 2032-11-29 | 0 | 1,954,545 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2032-11-29 | 0 | 1,954,545 | Direct |
Footnotes
- Sale price reflects the weighted average price of multiple trades executed at prices ranging from $1.90 to $1.92. 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 Dr. Quarles on June 15, 2023.
- Options were issued in exchange for services rendered as an officer and director of the company.
- Restricted Stock Units are subject to vesting, and none of them were vested.
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