-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, MHo5gJQnVXzrzJXdxtHHGpiWH9Tz4wOVHimUxZs1GHswzWbGp+L7Hj2IA6mMUT5T +vnD0LQQw8jK01OUVU7W5w== 0001019687-10-003695.txt : 20101019 0001019687-10-003695.hdr.sgml : 20101019 20101019165705 ACCESSION NUMBER: 0001019687-10-003695 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101015 ITEM INFORMATION: Other Events ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20101019 DATE AS OF CHANGE: 20101019 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Applied Nanotech Holdings, Inc CENTRAL INDEX KEY: 0000891417 STANDARD INDUSTRIAL CLASSIFICATION: COMMUNICATIONS EQUIPMENT, NEC [3669] IRS NUMBER: 760273345 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-11602 FILM NUMBER: 101130866 BUSINESS ADDRESS: STREET 1: 3006 LONGHORN BOULEVARD STREET 2: SUITE 107 CITY: AUSTIN STATE: TX ZIP: 78758 BUSINESS PHONE: 5123315020 MAIL ADDRESS: STREET 1: 3006 LONGHORN BOULEVARD STREET 2: SUITE 107 CITY: AUSTIN STATE: TX ZIP: 78758 FORMER COMPANY: FORMER CONFORMED NAME: NANO PROPRIETARY INC DATE OF NAME CHANGE: 20071105 FORMER COMPANY: FORMER CONFORMED NAME: NANO PROPRIETARY INC DATE OF NAME CHANGE: 20030702 FORMER COMPANY: FORMER CONFORMED NAME: SI DIAMOND TECHNOLOGY INC DATE OF NAME CHANGE: 19940318 8-K 1 applied_8k-101510.htm CURRENT REPORT ON FORM 8-K applied_8k-101510.htm


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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM 8-K

CURRENT REPORT
Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934


Date of Report (Date of earliest event reported)
October 15, 2010


APPLIED NANOTECH HOLDINGS, INC.
(Exact name of registrant as specified in its charter)


TEXAS
1-11602
76-0273345
(State or other jurisdiction
of incorporation)
(Commission
File Number)
(IRS Employer
Identification No.)


3006 Longhorn Boulevard, Suite 107, Austin, Texas
78758
(Address of principal executive offices)
(Zip Code)


(512) 339 - 5020
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):
 
o
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a -12)
o
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d -2(b))
o
 Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e -4(c))
 

 
 
 
 


Item 8.01 Other Events.

On October 15, 2010, Douglas P. Baker, our Chief Executive Officer, adopted a pre-arranged stock selling plan, intended to qualify for the safe harbor under Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Under the plan, subject to certain limitations: (a) up to 100,000 shares of our common stock acquirable upon the conversion of a note payable by Mr. Baker may be sold at specified market prices greater than or equal to $1.00 per share, (b) an additional 50,000 shares may be sold at specified market prices greater than or equal to $1.50 per share, (c) an additional 50,000 shares may be sold at specified market prices greater than or equal to $2.00 per share, (d) an additional 100,000 shares may be sold at specified market prices greater than or equal to $3.00 per share, and  (e) an addition al 100,000 shares may be sold at specified market prices greater than or equal to $4.00 per share. Completion of this plan would result in the sale of a total of 400,000 shares at prices ranging from $1.00 to in excess of $4.00, and upon completion of the plan, Mr. Baker would still retain in excess of 100,000 shares and approximately 1.1 million options, so such sales would represent only approximately 25% of his ownership position.

Sales pursuant to this plan may begin on or after November 15, 2010. The plan will terminate on December 31, 2012, unless terminated sooner in accordance with the plan’s terms. No plan has been adopted for Mr. Baker’s remaining shares. Mr. Baker has informed us that any sales pursuant to this plan will comply with Rule 144.  Any actual sales under this plan will be publicly disclosed under Rule 16a-3.

Except as may be required by law, we do not undertake to report plans by other officers or directors of the Company, nor to report modifications, terminations, transactions or other activities under the plans adopted by the officer named above or the plan of any other officer or director.


Item 9.01 Financial Statements and Exhibits.

(d) Exhibits:

None



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 hereunto duly authorized.



 
Applied Nanotech Holdings, Inc.
   
 
By: /s/ Douglas P. Baker                                      
Date: October 19, 2010
Douglas P. Baker
Chief Executive Officer



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