UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Options (right to buy) | Â (1) | 03/09/2012 | Common Stock | 87,000 | $ 0.5 | D | Â |
Options (right to buy) | Â (2) | 07/16/2014 | Common Stock | 250,000 | $ 0.4 | D | Â |
Options (right to buy) | Â (3) | 03/23/2015 | Common Stock | 50,000 | $ 0.6 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LAU ERIC C/O APPLIED ENERGETICS, INC. 3590 EAST COLUMBIA STREET TUSCON, AZ 85714 |
 |  |  COO and VP of Engineering |  |
/s/ Eric Lau | 12/09/2010 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | These options became exercisable as to 69,500 shares on March 23, 2009 and 17,500 shares on April 23, 2009. |
(2) | These options became exercisable as to 83,333 shares on each of July 16, 2009 and August 11, 2010 and will become exercisable as to the ensuing 83,334 shares on the second day following the issuer's filing of its Quarterly Report on Form 10-Q for the quarter ending June 30, 2011. |
(3) | These options became exercisable as to 16, 667 shares on March 23, 2010 and will become exercisable as to 16,667 and 16,666 shares on March 23, 2011and March 23, 2012, respectively. |