Adamczyk Bradford Thomas's Form 4 filing
Applied Energetics, Inc. (AERG) · filed Jan 18, 2024
- Accession no.
- 0001213900-24-004513
- Filed
- Jan 18, 2024, 4:20 PM ET
- Trade date
- Jan 16-17, 2024
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Checked
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $19.7K. It was filed 2 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 |
|---|---|
| Adamczyk Bradford ThomasCIK 0001728043 | Director, Officer (Executive Chairman) |
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 |
|---|---|---|---|---|---|---|---|---|
| Jan 16, 2024 | Common Stock, par value $0.001 per share | MOption exerciseAcquired | +3,900 | $0.07 | +$273 | 675,382 | Direct | |
| Jan 16, 2024 | Common Stock, par value $0.001 per share | SSaleDisposed | −3,900 | $2.00F1 | −$7,800 | 671,482 | Direct | |
| Jan 17, 2024 | Common Stock, par value $0.001 per share | MOption exerciseAcquired | +6,100 | $0.07 | +$427 | 677,582 | Direct | |
| Jan 17, 2024 | Common Stock, par value $0.001 per share | SSaleDisposed | −6,100 | $1.95F1 | −$11,895 | 671,482 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 16, 2024 | Common Stock, par value $.001 per share | MOption exerciseDisposed | −3,900 | –F3 | – | 1,456,100 | Direct | |
| Jan 17, 2024 | Common Stock, par value $.001 per share | MOption exerciseDisposed | −6,100 | –F3 | – | 1,450,000 | 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
Such shares were sold pursuant to a 10b-5 Plan which was adopted by Mr. Adamczyk on June 15, 2023.
Referenced by the price of 2 transactions in Table I.
- F3
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.