0001535264-24-000001.txt : 20240110
0001535264-24-000001.hdr.sgml : 20240110
20240110171603
ACCESSION NUMBER: 0001535264-24-000001
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20240110
DATE AS OF CHANGE: 20240110
GROUP MEMBERS: ADAM STETTNER
GROUP MEMBERS: AWM INVESTMENT CO INC.
GROUP MEMBERS: DAVID GREENHOUSE
GROUP MEMBERS: MG ADVISERS, L.L.C.
GROUP MEMBERS: MGP ADVISERS LIMITED PARTNERSHIP
GROUP MEMBERS: SPECIAL SITUATIONS CAYMAN FUND, L.P.
GROUP MEMBERS: SPECIAL SITUATIONS FUND III QP, L.P.
GROUP MEMBERS: SPECIAL SITUATIONS PRIVATE EQUITY FUND, L.P.
GROUP MEMBERS: SPECIAL SITUATIONS TECHNOLOGY FUND II, L.P.
GROUP MEMBERS: SPECIAL SITUATIONS TECHNOLOGY FUND, L.P.
GROUP MEMBERS: SSCAYMAN, L.L.C.
GROUP MEMBERS: SST ADVISERS, L.L.C.
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: APPLIED DNA SCIENCES INC
CENTRAL INDEX KEY: 0000744452
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-TESTING LABORATORIES [8734]
ORGANIZATION NAME: 08 Industrial Applications and Services
IRS NUMBER: 592262718
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0930
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-78682
FILM NUMBER: 24527274
BUSINESS ADDRESS:
STREET 1: 50 HEALTH SCIENCES DRIVE
CITY: STONY BROOK
STATE: NY
ZIP: 11790
BUSINESS PHONE: 631-240-8800
MAIL ADDRESS:
STREET 1: 50 HEALTH SCIENCES DRIVE
CITY: STONY BROOK
STATE: NY
ZIP: 11790
FORMER COMPANY:
FORMER CONFORMED NAME: PROHEALTH MEDICAL TECHNOLOGIES INC
DATE OF NAME CHANGE: 20010504
FORMER COMPANY:
FORMER CONFORMED NAME: DCC ACQUISITION CORP
DATE OF NAME CHANGE: 19990211
FORMER COMPANY:
FORMER CONFORMED NAME: DATALINK CAPITAL CORP/TX/
DATE OF NAME CHANGE: 19980306
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: AWM Investment Company, Inc.
CENTRAL INDEX KEY: 0001535264
ORGANIZATION NAME:
IRS NUMBER: 113086452
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
BUSINESS ADDRESS:
STREET 1: 527 MADISON AVENUE
STREET 2: SUITE 2600
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-319-6670
MAIL ADDRESS:
STREET 1: 527 MADISON AVENUE
STREET 2: SUITE 2600
CITY: NEW YORK
STATE: NY
ZIP: 10022
SC 13G/A
1
Applieddna13g123123t.txt
APPLIED DNA 13G/A
THE UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 1 )*
Applied DNA Sciences, Inc.
(Name of Issuer)
Common Stock, Par Value $0.001
(Title of Class of Securities)
03815U300
(CUSIP Number)
December 31, 2023
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this
Schedule 13G is filed:
[X] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[ ] Rule 13d-1(d)
*The remainder of this cover page shall be filled out for a reporting
person?s initial filing on this form with respect to the subject class
of securities, and for any subsequent amendment containing information
which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not
be deemed to be filed for the purpose of Section 18 of the Securities
Exchange Act of 1934 (Act) or otherwise subject to the liabilities of
that section of the Act but shall be subject to all other provisions
of the Act (however, see the Notes).
CUSIP No. 03815U300
(1) Names of Reporting Persons. I.R.S. Identification Nos. of
Above Persons (entities only):
AWM Investment Company, Inc.
(2) Check the Appropriate Box if a Member of a Group (See
Instructions) (a)___ b)___
(3) SEC Use Only
(4) Citizenship or Place of Organization: Delaware, United States
Number of Shares Beneficially
Owned by Each Reporting Person
With
(5) Sole Voting Power:
500,000 (Warrants) **
(6) Shared Voting Power: 0**
(7) Sole Dispositive Power:
500,000 (Warrants) **
(8) Shared Dispositive Power: 0**
(9) Aggregate Amount Beneficially Owned by Each Reporting
Person: 500,000 (Warrants) **
(10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions):
(11) Percent of Class Represented by Amount in Row (9): 3.5%**
(12) Type of Reporting Person (See Instructions): IA
**AWM Investment Company, Inc., a Delaware corporation (AWM), is the
investment adviser to Special Situations Cayman Fund, L.P. (CAYMAN),
Special Situations Fund III QP, L.P. (SSFQP), Special Situations
Private Equity Fund, L.P. (SSPE) Special Situations Technology Fund,
L.P. (TECH) and Special Situations Technology Fund II, L.P. (TECH II).
(CAYMAN, SSFQP, SSPE, TECH and TECH II will hereafter be referred to
as the Funds). As the investment adviser to the Funds, AWM holds sole
voting and investment power over 0 shares of Common Stock of the
Issuer (Shares) and 72,000 Warrants*** to purchase Shares held by
CAYMAN, 0 Shares and 241,500 Warrants*** to purchase Shares held by
SSFQP, 0 Shares and 51,500 Warrants*** to purchase Shares held by
SSPE, 0 Shares and 21,000 Warrants*** to purchase Shares held by TECH
and 0 Shares and 114,000 Warrants*** to purchase Shares held by TECH
II. See Items 2 and 4 of this Schedule for additional information.
*** The Warrants described herein may only be exercised to the extent
that the total number of Common Shares then beneficially owned does
not exceed 3.5% of the outstanding shares.
Item 1(a). Name Of Issuer: Applied DNA Sciences, Inc.
Item 1(b). Address of Issuer?s Principal Executive Offices:
50 Health Sciences Drive
Stony Brook, NY 11790
Item 2(a). Name of Person Filing:
The person filing this report is AWM Investment Company, Inc.,
a Delaware corporation (AWM), which is the investment adviser
to Special Situations Cayman Fund, L.P., a Cayman Islands
Limited Partnership (CAYMAN), Special Situations Fund III QP,
L.P., a Delaware limited partnership (SSFQP), Special
Situations Private Equity Fund, L.P., a Delaware limited
partnership (SSPE), Special Situations Technology Fund, L.P., a
Delaware limited partnership (TECH) and Special Situations
Technology Fund II, L.P., a Delaware limited partnership (TECH
II), (CAYMAN, SSFQP, SSPE, TECH and TECH II, will hereafter be
referred to as the Funds). The principal business of each Fund
is to invest in equity and equity-related securities and other
securities of any kind or nature.
David M. Greenhouse (Greenhouse) and Adam C. Stettner
(Stettner) are members of: SSCayman, L.L.C., a Delaware limited
liability company (SSCAY), the general partner of CAYMAN; MGP
Advisers Limited Partnership, a Delaware limited partnership
(MGP), the general partner of SSFQP; MG Advisers, L.L.S., a
Delaware limited liability company (MG), the general partner of
SSPE and SST Advisers, L.L.C., a Delaware limited liability
company (SSTA), the general partner of TECH and TECH II.
Greenhouse and Stettner are also controlling principals of AWM.
Item 2(b). Address of Principal Business Office or, if None,
Residence:
The principal business address for AWM is c/o Special
Situations Funds, 527 Madison Avenue, Suite 2600, New York, NY
10022.
Item 2(c). Citizenship: AWM is a Delaware Corporation.
Item 2(d). Title of Class of Securities: Common Stock, Par
Value $0.001
Item 2(e). CUSIP No.: 03815U300
Item 3. If This Statement Is Filed Pursuant to ??240.13d-1(b) or
240.13d-2(b) or (c), check whether the Person Filing is a:
Not Applicable.
Item 4. Ownership
(a) Amount Beneficially Owned: 500,000 (Warrants)**
(b) Percent of Class: 3.5%**
(c) Number of Shares as to which the person has:
(i) sole power to vote or to direct the vote: 500,000
(Warrants)**
(ii) shared power to vote or to direct the vote: 0**
(iii) sole power to dispose or to direct the disposition of:
500,000 (Warrants) **
(iv) shared power to dispose or to direct the disposition
of: 0**
______________________________________________________________________
** AWM is the investment adviser to each of the Funds. As the
investment adviser to the Funds, AWM holds sole voting and investment
power over 0 shares of Common Stock of the Issuer (the Shares) and
72,000 Warrants*** to purchase Shares held by CAYMAN, 0 Shares and
241,500 Warrants*** to purchase Shares held by SSFQP, 0 Shares and
51,500 Warrants*** to purchase Shares held by SSPE, 0 Shares and
21,000 Warrants*** to purchase Shares held by TECH and 0 Shares and
114,000 Warrants*** to purchase Shares held by TECH II. Marxe,
Greenhouse and Stettner are members of: SSCAY, the general partner of
CAYMAN. Greenhouse and Stettner are members of MGP, the general
partner of SSFQP; MG, the general partner of SSPE; and SSTA, the
general partner of TECH and TECH II. Greenhouse and Stettner are also
controlling principals of AWM.
Item 5. Ownership of Five Percent or Less of a Class
If this statement is being filed to report the fact that as of
the date hereof the reporting person has ceased to be the beneficial
owner of more than five percent of the class of securities, check the
following. _X__
Item 6. Ownership of More Than Five Percent on Behalf of Another
Person
Not Applicable.
Item 7. Identification and Classification of the Subsidiary Which
Acquired the Security Being Reported on by the Parent Holding
Company or Control Person
Not Applicable.
Item 8. Identification and Classification of Members of the Group
Not Applicable.
Item 9. Notice of Dissolution of Group
Not Applicable.
Item 10. Certification
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were not acquired and are not
held for the purpose of or with the effect of changing or influencing
the control of the issuer of the securities and were not acquired and
are not held in connection with or as a participant in any transaction
having that purpose or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and
belief, I certify that the information set forth in this statement is
true, complete and correct.
Dated: January 9, 2024
AWM INVESTMENT COMPANY, INC.
By:/s/ Adam Stettner
Name: Adam Stettner
Title: Executive Vice President
Attention: Intentional misstatements or omissions of fact constitute
Federal criminal violations (See 18 U.S.C. 1001)
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