| | | | | 1 | | | |
| | | | | 1 | | | |
| | | | | 7 | | | |
| | | | | 8 | | | |
| | | | | 10 | | | |
| | | | | 19 | | | |
| | | | | 28 | | | |
| | | | | 29 | | | |
| | | | | 30 | | | |
| | | | | 31 | | | |
| | | | | A-1 | | | |
| | | | | B-1 | | | |
| | | | | C-1 | | |
Investor
|
| |
Warrants
Outstanding |
| |
Original
Issue Date |
| |
Original
Expiration Date |
| |
Original
Exercise Price |
| ||||||
Dillon Hill Investment Co. LLC
|
| | | | 59,000 | | | |
10/7/2020
|
| |
10/7/2025
|
| | | $ | 1.51 | | |
Dillon Hill Capital LLC
|
| | | | 100,000 | | | |
10/7/2020
|
| |
10/7/2025
|
| | | $ | 1.51 | | |
Dillon Hill Investment Co. LLC
|
| | | | 50,000 | | | |
12/9/2020
|
| |
12/8/2025
|
| | | $ | 1.31 | | |
Dillon Hill Investment Co. LLC
|
| | | | 50,000 | | | |
12/10/2020
|
| |
12/9/2025
|
| | | $ | 1.29 | | |
Dillon Hill Investment Co. LLC
|
| | | | 198,739 | | | |
11/15/2019
|
| |
11/15/2024
|
| | | $ | 1.47 | | |
Dillon Hill Capital LLC
|
| | | | 201,000 | | | |
11/15/2019
|
| |
11/15/2024
|
| | | $ | 1.47 | | |
Armistice Capital Master Fund Ltd.
|
| | | | 1,496,400 | | | |
2/24/2022
|
| |
8/24/2027
|
| | | $ | 2.84 | | |
Armistice Capital Master Fund Ltd.
|
| | | | 900,000 | | | |
8/8/2022
|
| |
8/9/2027
|
| | | $ | 4.00 | | |
| | |
Prior to
Reverse Stock Split |
| |
After Reverse Stock Split
|
| ||||||||||||||||||||||||||||||||||||||||||||||||||||||
| | |
1-for-5
|
| |
1-for-10
|
| |
1-for-20
|
| |
1-for-25
|
| |
1-for-30
|
| |
1-for-35
|
| |
1-for-40
|
| |
1-for-45
|
| |
1-for-50
|
| |||||||||||||||||||||||||||||||||
Authorized Shares of Common Stock
|
| | | | 200,000,000 | | | | | | 200,000,000 | | | | | | 200,000,000 | | | | | | 200,000,000 | | | | | | 200,000,000 | | | | | | 200,000,000 | | | | | | 200,000,000 | | | | | | 200,000,000 | | | | | | 200,000,000 | | | | | | 200,000,000 | | |
Shares of Common Stock Issued and Outstanding(1)
|
| | | | 16,978,703 | | | | | | 3,395,741 | | | | | | 1,697,870 | | | | | | 848,935 | | | | | | 679,148 | | | | | | 565,957 | | | | | | 485,106 | | | | | | 424,468 | | | | | | 377,305 | | | | | | 339,574 | | |
Shares of Common Stock Reserved for Future Issuance but
not Issued and Outstanding(1)(2) |
| | | | 22,732,463 | | | | | | 4,546,493 | | | | | | 2,273,246 | | | | | | 1,136,623 | | | | | | 909,299 | | | | | | 757,749 | | | | | | 649,499 | | | | | | 568,312 | | | | | | 505,166 | | | | | | 454,649 | | |
Shares of Common Stock Available for Future
Issuance(1) |
| | | | 160,288,834 | | | | | | 192,057,766 | | | | | | 196,028,884 | | | | | | 198,014,442 | | | | | | 198,411,294 | | | | | | 198,676,294 | | | | | | 198,865,395 | | | | | | 199,007,220 | | | | | | 199,117,529 | | | | | | 199,205,777 | | |
| | |
Options Granted
|
| |
RSUs Granted
|
| |
Weighted Average
Common Shares Outstanding Each Year |
| |||||||||
2021
|
| | | | 203,405 | | | | | | — | | | | | | 6,916,999 | | |
2022
|
| | | | 583,340 | | | | | | — | | | | | | 8,967,704 | | |
2023
|
| | | | 1,224,421 | | | | | | 282,640 | | | | | | 13,075,416 | | |
Plan Category
|
| |
Number of Securities
to be issued upon exercise of outstanding options, warrants and rights (a)(1) |
| |
Weighted-average
exercise price of outstanding options, warrants and rights (b) |
| |
Number of securities
available for future issuance under equity compensation plans (excluding securities reflected in column (a)) (c) |
| |||||||||
Equity compensation plans approved by security holders
|
| | | | | | | | | | | | | | | | | | |
Applied DNA Sciences, Inc.2005 Incentive Stock Plan, as amended
|
| | | | 242,232 | | | | | $ | 66.21 | | | | | | 44,343 | | |
Applied DNA Sciences, Inc. 2020 Incentive Plan
|
| | | | 2,244,645 | | | | | | 3.00 | | | | | | 1,283,903 | | |
Equity compensation plans not approved by security holders
|
| | | | — | | | | | | — | | | | | | — | | |
TOTAL
|
| | | | 2,486,877 | | | | | $ | 9.95 | | | | | | 1,328,246 | | |
| | |
Title of Class
|
| |
Number of
Shares Owned(1) |
| |
Percentage
of Class(2) |
| ||||||
Executive Officers and Directors: | | | | | | | | | | | | | | | | |
James A. Hayward
|
| |
Common Stock
|
| | | | 506,481(3) | | | | | | 2.92% | | |
Yacov A. Shamash
|
| |
Common Stock
|
| | | | 179,887(4) | | | | | | 1.05% | | |
Robert B. Catell
|
| |
Common Stock
|
| | | | 168,712(8) | | | | | | * | | |
Joseph D. Ceccoli
|
| |
Common Stock
|
| | | | 171,091(5) | | | | | | 1.00% | | |
Beth M. Jantzen
|
| |
Common Stock
|
| | | | 189,185(9)(12)(13) | | | | | | 1.10% | | |
Judith Murrah
|
| |
Common Stock
|
| | | | 210,379(10)(12)(13) | | | | | | 1.22% | | |
Clay Shorrock
|
| |
Common Stock
|
| | | | 163,244(12)(13)(14) | | | | | | * | | |
Sanford R. Simon
|
| |
Common Stock
|
| | | | 167,103(6) | | | | | | * | | |
Elizabeth Schmalz Shaheen
|
| |
Common Stock
|
| | | | 167,460(11) | | | | | | * | | |
All directors and officers as a group (9 persons)
|
| |
Common Stock
|
| | | | 1,923,542(7) | | | | | | 10.25% | | |
5% Stockholder: | | | | | | | | | | | | | | | | |
Bruce Grossman
|
| |
Common Stock
|
| | | | 5,403,593(15)(16) | | | | | | 26.1% | | |
Armistice Capital, LLC
|
| |
Common Stock
|
| | | | 14,584,466(17)(18) | | | | | | 48.6% | | |
| | | | By Order of the Board of Directors | |
| | | |
/s/ James A. Hayward
James A. Hayward
Chairman, President and Chief Executive Officer |
|
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