Donaghey Christopher Wayne's Form 4 filing
Applied Energetics, Inc. (AERG) · filed Sep 8, 2023
- Accession no.
- 0001213900-23-075350
- Filed
- Sep 8, 2023
- Trade date
- Jul 13-Sep 8, 2023
- Filing delay
- 57 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $220.0K. It was filed 57 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Donaghey Christopher WayneCIK 0001953387 | Officer (CFO/COO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 13, 2023 | Common Stock, par value $0.001 per share | MOption exerciseAcquired | +100,000 | –F1 | – | 274,554 | Direct | |
| Jul 13, 2023 | Common Stock, par value $0.001 per share | FTax withholdingDisposed | −40,995 | –F1 | – | 233,559 | Direct | |
| Sep 8, 2023 | Common Stock, par value $0.001 per share | SSaleDisposed | −100,000 | $2.20 | −$220,000 | 133,559 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 13, 2023 | Common Stock, par value $.001 per share | MOption exerciseDisposed | −100,000 | –F2 | – | 300,000 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Consists of vesting of .RSUs in the amount of 100,000 shares with no exercise price and forfeiture of 40,995 to cover tax withholding.
Referenced by the price of 2 transactions in Table I.
- F2
Consists of vesting of RSUs with no exercise price. These RSUs vest in the amount of 100,000 shares on each anniversary date and have no set expiration.
Referenced by the price of 1 transaction in Table II.
Remarks
Mr. Donaghey also holds options to purchase 1,350,000 shares of common stock as previously reported on Form 3, none of which were affected by the transactions reported herein.