Current Report Filing (8-k)
February 03 2021 - 5:16PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM 8-K
CURRENT
REPORT PURSUANT
TO
SECTION 13 OR 15(D) OF THE
SECURITIES
EXCHANGE ACT OF 1934
on
Date of report (Date of earliest
event reported) February 2, 2021
APPLIED ENERGETICS,
INC.
(Exact Name of Registrant as Specified in Its
Charter)
Delaware
(State or Other Jurisdiction of Incorporation)
001-14015
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77-0262908
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(Commission File Number)
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(IRS Employer Identification No.)
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2480 W Ruthrauff Road, Suite 140 Q, Tucson, Arizona
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85705
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(Address of Principal Executive Offices)
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(Zip Code)
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(520) 628-7415
(Registrant’s Telephone Number, Including
Area Code)
(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 (see General Instruction A.2. below):
☐ Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐ Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐ Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐ 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). Emerging growth company: ___
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
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Trading Symbol(s)
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Name of each exchange on which registered
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Common Stock, par value $.001 per share
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AERG
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OTCQB
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Item 3.02 Unregistered Sales of Equity Securities.
Effective February 2, 2021, the company
completed the issuance of 5,406,250 shares of its common stock, par value, $0.001 per share, in a private sale to individual purchasers
at a price of $0.32 per share, or $1,730,000 in the aggregate. All of the purchasers are accredited, sophisticated investors, and
the issuance of the shares was not in connection with any public offering in accordance with Section 4(a)(2) of the Securities
Act of 1933.
SIGNATURES
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 thereunto duly authorized.
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APPLIED ENERGETICS, INC.
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By:
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/s/ Gregory J. Quarles
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Gregory J. Quarles
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Chief Executive Officer
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Date: February 3, 2021
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