Amended Statement of Beneficial Ownership (3/a)
March 06 2015 - 9:16AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
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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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1. Name and Address of Reporting Person
*
Bitzer John III
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2. Date of Event Requiring Statement (MM/DD/YYYY)
11/14/2014
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3. Issuer Name
and
Ticker or Trading Symbol
APPLIED DNA SCIENCES INC [APDN]
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(Last)
(First)
(Middle)
50 HEALTH SCIENCES DRIVE
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Street)
STONY BROOK, NY 11790
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
11/14/2014
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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 Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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1052113
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I
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See footnote
(1)
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Common Stock
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2539
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D
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Common Stock
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11243
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I
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See footnote
(2)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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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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Warrants
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(3)
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6/2/2015
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Common Stock
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7276
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$8.25
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I
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See footnote
(4)
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Stock Option
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(3)
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11/29/2016
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Common Stock
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15900
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$4.08
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D
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Stock Option
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(3)
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11/29/2017
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Common Stock
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7204
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$10.79
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D
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Stock Option
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(3)
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10/16/2018
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Common Stock
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12778
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$5.82
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D
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Explanation of Responses:
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(
1)
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Consists of shares owned by Delabarta, Inc., a subsidiary of ABARTA, Inc. The reporting person disclaims beneficial ownership of the shares owned by Delabarta, Inc. except to the extent if his pecuniary interest therein through his ownership in ABARTA, Inc.
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(
2)
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Consists of shares owned by various trusts for the benefit of members of the reporting person's immediate family of which the reporting person is the trustee. The reporting person disclaims beneficial ownership of all such shares.
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(
3)
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Fully vested and exercisable.
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(
4)
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Consists of warrants held by Delabarta, Inc., a subsidiary of ABARTA, Inc. The reporting person disclaims beneficial ownership of the warrants (and underlying shares) owned by Delabarta, Inc., except to the extent of his pecuniary interest therein through his ownership in ABARTA, Inc.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Bitzer John III
50 HEALTH SCIENCES DRIVE
STONY BROOK, NY 11790
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X
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Signatures
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/s/ Beth Jantzen
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3/5/2015
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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