Quarles Gregory James's Form 4 filing
Applied Energetics, Inc. (AERG) · filed May 23, 2024
- Accession no.
- 0001213900-24-046275
- Filed
- May 23, 2024, 4:15 PM ET
- Trade date
- May 21-22, 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 $18.9K. 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 |
|---|---|
| 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 |
|---|---|---|---|---|---|---|---|---|
| May 21, 2024 | Common Stock, par value $0.001 per share | MOption exerciseAcquired | +9,500 | $0.35 | +$3,325 | 9,500 | Direct | |
| May 21, 2024 | Common Stock, par value $0.001 per share | SSaleDisposed | −9,500 | $1.89F1 | −$17,955 | 0 | Direct | |
| May 22, 2024 | Common Stock, par value $0.001 per share | MOption exerciseAcquired | +500 | $0.35 | +$175 | 500 | Direct | |
| May 22, 2024 | Common Stock, par value $0.001 per share | SSaleDisposed | −500 | $1.90F1 | −$950 | 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 |
|---|---|---|---|---|---|---|---|---|
| May 21, 2024 | Common Stock, par value $.001 per share | MOption exerciseDisposed | −9,500 | –F2 | – | 4,920,500 | Direct | |
| May 22, 2024 | Common Stock, par value $.001 per share | MOption exerciseDisposed | −500 | –F2 | – | 4,920,000 | 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
Sale price reflects the weighted average price of multiple trades executed at prices ranging from $1.82 to $1.95, on May 21, 2024, and $1.88 to 1.92, on May 22, 2024. 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.
Referenced by the price of 2 transactions in Table I.
- F2
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.