0001571049-14-006678.txt : 20141120 0001571049-14-006678.hdr.sgml : 20141120 20141120211919 ACCESSION NUMBER: 0001571049-14-006678 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141120 FILED AS OF DATE: 20141120 DATE AS OF CHANGE: 20141120 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: APPLIED DNA SCIENCES INC CENTRAL INDEX KEY: 0000744452 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MISCELLANEOUS BUSINESS SERVICES [7380] IRS NUMBER: 592262718 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hayward James A CENTRAL INDEX KEY: 0001357784 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36745 FILM NUMBER: 141240576 MAIL ADDRESS: STREET 1: C/O 25 HEALTH SCIENCES DRIVE STREET 2: SUITE 113 CITY: NEW YORK STATE: NY ZIP: 11790 4 1 t1402309-x2_hayward.xml OWNERSHIP DOCUMENT X0306 4 2014-11-20 0 0000744452 APPLIED DNA SCIENCES INC APDN 0001357784 Hayward James A 50 HEALTH SCIENCES DRIVE STONY BROOK NY 11790 1 1 1 0 Chairman, CEO and President Common Stock 2014-11-20 4 J 0 315171 A 1842331 D Common Stock 2014-11-20 4 P 0 76923 3.24 A 1919254 D Warrants 3.50 2014-11-20 4 J 0 315171 A 2019-11-20 Common Stock 315171 315171 D Warrants 3.50 2014-11-20 4 P 0 76923 0.01 A 2019-11-20 Common Stock 76923 392094.00 D The reporting person was the holder of a 12.5% Promissory Note dated as of September 11, 2014 issued by Applied DNA Sciences, Inc. (the "Issuer") to the reporting person in the original principal amount of $1,000,000. The Promissory Note, together with accrued interest, was exchanged (for no additional consideration) for shares of the Common Stock and Warrants to purchase Common Stock immediately prior to the closing of the Issuer's public offering pursuant to its Registration Statement on Form S-1 (File No. 333-199121), in an amount determined by the quotient obtained by dividing the outstanding principal and interest of the Promissory Note by $3.25 (the price of the Common Stock and Warrants sold in the public offering). Represents shares of the Issuer's common stock and Warrants purchased at the public offering price of $3.24 per common share and $0.01 per Warrant. These warrants are fully exercisable. /s/ Karol Kain Gray, Attorney-in-Fact 2014-11-20