Quarles Gregory James's Form 4 filing
Applied Energetics, Inc. (AERG) · filed Oct 31, 2023
- Accession no.
- 0001213900-23-081803
- Filed
- Oct 31, 2023, 4:09 PM ET
- Trade date
- Oct 27-31, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Checked
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $23.7K. It was filed 4 days after the trade.
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 |
|---|---|
| Quarles Gregory JamesCIK 0001776289 | Director, Officer (President and CEO) |
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 |
|---|---|---|---|---|---|---|---|---|
| Oct 27, 2023 | Common Stock, par value $0.001 per share | MOption exerciseAcquired | +6,600 | $0.35 | +$2,310 | 6,600 | Direct | |
| Oct 27, 2023 | Common Stock, par value $0.001 per share | SSaleDisposed | −6,600 | $2.37 | −$15,642 | 0 | Direct | |
| Oct 31, 2023 | Common Stock, par value $0.001 per share | MOption exerciseAcquired | +3,400 | $0.35 | +$1,190 | 3,400 | Direct | |
| Oct 31, 2023 | Common Stock, par value $0.001 per share | SSaleDisposed | −3,400 | $2.37 | −$8,058 | 0 | 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 27, 2023 | Common Stock, par value $.001 per share | MOption exerciseDisposed | −6,600 | –F1 | – | 4,983,400 | Direct | |
| Oct 31, 2023 | Common Stock, par value $.001 per share | MOption exerciseDisposed | −3,400 | –F1 | – | 4,980,000 | 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
Options were issued in exchange for services rendered as an officer and director of the company.
Referenced by the price of 2 transactions in Table II.