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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 4/16/24 Applied Dna Sciences Inc. 8-K:5 4/15/24 10:189K Toppan Merrill/FA |
Document/Exhibit Description Pages Size 1: 8-K Current Report HTML 30K 5: R1 Cover HTML 45K 7: XML IDEA XML File -- Filing Summary XML 11K 10: XML XBRL Instance -- tm2411831d1_8k_htm XML 15K 6: EXCEL IDEA Workbook of Financial Report Info XLSX 8K 3: EX-101.LAB XBRL Labels -- apdn-20240415_lab XML 96K 4: EX-101.PRE XBRL Presentations -- apdn-20240415_pre XML 64K 2: EX-101.SCH XBRL Schema -- apdn-20240415 XSD 12K 8: JSON XBRL Instance as JSON Data -- MetaLinks 25± 33K 9: ZIP XBRL Zipped Folder -- 0001104659-24-047787-xbrl Zip 15K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported): i April 15, 2024
(Exact name of registrant as specified in its charter)
| i Delaware | i 001-36745 | i 59-2262718 |
| (State or other jurisdiction of incorporation) |
(Commission File Number) | (IRS Employer Identification No.) |
i Stony Brook, i New York i 11790
(Address of principal executive offices; zip code)
Registrant’s telephone number, including area code:
N/A
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
| i ¨ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| i ¨ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| i ¨ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| i ¨ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨
Securities registered pursuant to Section 12(b) of the Act:
| Title of each class | Trading Symbol(s) | Name of each exchange on which registered | ||
| i Common Stock, $0.001 par value | i APDN | The i Nasdaq Stock Market |
| Item 5.07 | Submission of Matters to a Vote of Security Holders. |
On April 15, 2024, Applied DNA Sciences, Inc. (the “Company”) held a special meeting of stockholders (the “Special Meeting”). The following proposals were voted on and were approved by the Company’s stockholders at the Special Meeting with the stockholders having voted as set forth below:
I. To approve, in accordance with Nasdaq Listing Rule 5635(d), the issuance to certain holders of common stock purchase warrants in connection with a private placement.
| FOR | AGAINST | ABSTAIN | BROKER NON-VOTES | |||
| 4,855,864 | 516,472 | 35,226 | 3,850,003 |
II. To approve, in accordance with Nasdaq Listing Rule 5635(d), the repricing of certain of our common stock purchase warrants.
| FOR | AGAINST | ABSTAIN | BROKER NON-VOTES | |||
| 4,826,983 | 541,578 | 39,001 | 3,850,003 |
III. To grant the Board of Directors discretionary authority to amend the Company’s certificate of incorporation, as amended, to effect a reverse stock split of common stock, at a ratio in the range from one-for-five to one-for-fifty, with such specific ratio to be determined by the Company’s Board of Directors following the Special Meeting.
| FOR | AGAINST | ABSTAIN | BROKER NON-VOTES | |||
| 8,360,021 | 824,051 | 73,493 | 0 |
IV. To approve an amendment to the Company’s 2020 Equity Incentive Plan to increase the number of authorized shares of common stock reserved for issuance by 4,000,000 shares.
| FOR | AGAINST | ABSTAIN | BROKER NON-VOTES | |||
| 4,748,305 | 633,432 | 25,825 | 3,850,003 |
Each of the foregoing voting results from the Special Meeting is final. Based on the foregoing votes, each of the proposals was approved.
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| Date: April 16, 2024 | APPLIED DNA SCIENCES, INC. | |
| By: | /s/ James A. Hayward | |
| Name: | James A. Hayward | |
| Title: | Chief Executive Officer | |
| This ‘8-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 4/16/24 | |||
| For Period end: | 4/15/24 | DEF 14A, PRE 14A | ||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 4/24/24 Applied Dna Sciences Inc. S-1 3:576K Toppan Merrill/FA |