Filing Details
- Accession Number:
- 0001571049-14-006678
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-11-20 21:19:19
- Reporting Period:
- 2014-11-20
- Filing Date:
- 2014-11-20
- Accepted Time:
- 2014-11-20 21:19:19
- 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 |
|---|---|---|---|---|---|---|---|
| 1357784 | A James Hayward | 50 Health Sciences Drive Stony Brook NY 11790 | Chairman, Ceo And President | Yes | Yes | Yes | 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 | Acquisiton | 2014-11-20 | 315,171 | $0.00 | 1,842,331 | No | 4 | J | Direct | |
| Common Stock | Acquisiton | 2014-11-20 | 76,923 | $3.24 | 1,919,254 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | J | Direct | |
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrants | Acquisiton | 2014-11-20 | 315,171 | $0.00 | 315,171 | $3.50 |
| Common Stock | Warrants | Acquisiton | 2014-11-20 | 76,923 | $0.01 | 76,923 | $3.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 315,171 | 2019-11-20 | No | 4 | J | Direct | |
| 392,094 | 2019-11-20 | No | 4 | P | Direct |
Footnotes
- The reporting person was the holder of a 12.5% Promissory Note dated as of September 11, 2014 issued by Applied DNA Sciences, Inc. (the "Issuer") to the reporting person in the original principal amount of $1,000,000. The Promissory Note, together with accrued interest, was exchanged (for no additional consideration) for shares of the Common Stock and Warrants to purchase Common Stock immediately prior to the closing of the Issuer's public offering pursuant to its Registration Statement on Form S-1 (File No. 333-199121), in an amount determined by the quotient obtained by dividing the outstanding principal and interest of the Promissory Note by $3.25 (the price of the Common Stock and Warrants sold in the public offering).
- Represents shares of the Issuer's common stock and Warrants purchased at the public offering price of $3.24 per common share and $0.01 per Warrant.
- These warrants are fully exercisable.
Billionaire Hedge Funds
