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FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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OMB APPROVAL
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| Estimated average burden hours per response... | 0.5 |
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(Print or Type Responses)
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1. Name and Address of Reporting Person *
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| Adamczyk Bradford Thomas |
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2. Issuer Name and Ticker or Trading Symbol
APPLIED ENERGETICS, INC. [AERG]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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__X__ Director
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_____ 10% Owner
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_____ Officer (give title below)
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_____ Other (specify below)
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2480 W RUTHRAUFF ROAD, SUITE 140 Q |
3. Date of Earliest Transaction (Month/Day/Year)
06/21/2018 |
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TUCSON, AZ 85705 |
4. If Amendment, Date Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Transaction Date (Month/Day/Year)
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2A. Deemed Execution Date, if any (Month/Day/Year)
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3. Transaction Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
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7. Nature of Indirect Beneficial Ownership
(Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | 06/21/2018 |
| J (1) |
| 1,000,000 | A |
$0.06 | 1,563,599 | I | See footnote (2) |
| Common stock |
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| 671,482 | D |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date (Month/Day/Year)
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3A. Deemed Execution Date, if any (Month/Day/Year)
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4. Transaction Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year)
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7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
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11. Nature of Indirect Beneficial Ownership
(Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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| Options (right to buy) |
$0.07 | 11/12/2018 |
| A |
| 5,000,000 |
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(3) | 11/12/2028 | common stock | 5,000,000 |
$0.07 | 5,000,000 | D |
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Reporting Owners
| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Adamczyk Bradford Thomas
2480 W RUTHRAUFF ROAD, SUITE 140 Q
TUCSON, AZ 85705 |
X
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Signatures
| /s/ Bradford T Adamczyk | |
05/19/2020 |
| **Signature of Reporting Person | Date |
Explanation of Responses:
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | Represents issuance of shares to Moriah Stone Global L.P. an entity controlled by the Reporting Person pursuant to a common Stock Subscription Agreement dated May 1, 2018 in satisfaction of a non-interest bearing loan made by the Reporting Person to the Issuer for $60,000. |
| (2) | By Reporting Person as partner of Moriah Stone Global L.P. |
| (3) | (i) Monthly Vesting: 1,800,000 vested immediately upon the date of the option (11/12/2018) and, thereafter, 200,000 shares vesting on the first day of each month with the balance vesting on February 1, 2020; and (ii) Performance Vesting: 2,500,000 shares vested immediately; 1,000,000 shares vesting upon the 20-day volume weighted average price ("VWAP") of the Company's common stock reaching $0.15 per share; 1,000,000 vesting upon VWAP of the Company's common stock reaching $0.25 per share; and 500,000 vesting upon the VWAP of the Company's common stock reaching $0.50 per share. The Option shall have vested under both (i) and (ii) above with respect to any shares hereunder in order to be fully exercisable with respect to such shares. All vesting is subject to acceleration on the event of a reorganization. |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
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