Earnings Feed
Start Free
Home/Filings/4/0000919574-18-003265
4//SEC Filing

POHLY ROBERT 4

Accession 0000919574-18-003265

CIK 0000008328other
View on SEC.govCompany Profile

Filed

May 1, 8:00 PM ET

Accepted

May 2, 5:59 PM ET

Size

34.2 KB

Accession

0000919574-18-003265

Insider Transaction Report

Form 4
Period: 2018-04-30
Applied Minerals, Inc.AMNL
SAMLYN CAPITAL, LLC
10% Owner
Transactions
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2018-04-30+0→ 259,027 total(indirect: See Footnote)
    Exercise: $0.06Exp: 2023-04-29→ COMMON STOCK (0 underlying)
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2018-04-30+259,027→ 259,027 total
    Exercise: $0.06Exp: 2023-04-29→ COMMON STOCK (259,027 underlying)
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2018-04-30+88,195→ 88,195 total
    Exercise: $0.06Exp: 2023-04-29→ COMMON STOCK (88,195 underlying)
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2018-04-30+0→ 88,195 total(indirect: See Footnote)
    Exercise: $0.06Exp: 2023-04-29→ COMMON STOCK (0 underlying)
Holdings

  • WARRANT (RIGHT TO PURCHASE COMMON STOCK)

    Exercise: $0.10Exp: 2022-12-14→ COMMON STOCK (2,062,909 underlying)
    2,062,909

  • WARRANT (RIGHT TO PURCHASE COMMON STOCK)

    Exercise: $0.10Exp: 2022-12-14→ COMMON STOCK (1,101,062 underlying)
    1,101,062

  • SERIES A CONVERTIBLE NOTE

    Exercise: $0.40Exp: 2023-05-01→ COMMON STOCK
    1

  • SERIES A CONVERTIBLE NOTE

    Exercise: $0.40Exp: 2023-05-01→ COMMON STOCK
    1

  • SERIES A CONVERTIBLE NOTE

    (indirect: See Footnote)
    Exercise: $0.40Exp: 2023-05-01→ COMMON STOCK (0 underlying)
    1

  • WARRANT (RIGHT TO PURCHASE COMMON STOCK)

    (indirect: See Footnote)
    Exercise: $0.10Exp: 2022-12-14→ COMMON STOCK (0 underlying)
    2,062,909

  • WARRANT (RIGHT TO PURCHASE COMMON STOCK)

    (indirect: See Footnote)
    Exercise: $0.10Exp: 2022-12-14→ COMMON STOCK (0 underlying)
    1,101,062

  • SERIES A CONVERTIBLE NOTE

    (indirect: See Footnote)
    Exercise: $0.40Exp: 2023-05-01→ COMMON STOCK (0 underlying)
    1
POHLY ROBERT
10% Owner
Transactions
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2018-04-30+259,027→ 259,027 total
    Exercise: $0.06Exp: 2023-04-29→ COMMON STOCK (259,027 underlying)
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2018-04-30+0→ 88,195 total(indirect: See Footnote)
    Exercise: $0.06Exp: 2023-04-29→ COMMON STOCK (0 underlying)
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2018-04-30+88,195→ 88,195 total
    Exercise: $0.06Exp: 2023-04-29→ COMMON STOCK (88,195 underlying)
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2018-04-30+0→ 259,027 total(indirect: See Footnote)
    Exercise: $0.06Exp: 2023-04-29→ COMMON STOCK (0 underlying)
Holdings

  • WARRANT (RIGHT TO PURCHASE COMMON STOCK)

    (indirect: See Footnote)
    Exercise: $0.10Exp: 2022-12-14→ COMMON STOCK (0 underlying)
    2,062,909

  • WARRANT (RIGHT TO PURCHASE COMMON STOCK)

    (indirect: See Footnote)
    Exercise: $0.10Exp: 2022-12-14→ COMMON STOCK (0 underlying)
    1,101,062

  • SERIES A CONVERTIBLE NOTE

    Exercise: $0.40Exp: 2023-05-01→ COMMON STOCK
    1

  • WARRANT (RIGHT TO PURCHASE COMMON STOCK)

    Exercise: $0.10Exp: 2022-12-14→ COMMON STOCK (2,062,909 underlying)
    2,062,909

  • WARRANT (RIGHT TO PURCHASE COMMON STOCK)

    Exercise: $0.10Exp: 2022-12-14→ COMMON STOCK (1,101,062 underlying)
    1,101,062

  • SERIES A CONVERTIBLE NOTE

    (indirect: See Footnote)
    Exercise: $0.40Exp: 2023-05-01→ COMMON STOCK (0 underlying)
    1

  • SERIES A CONVERTIBLE NOTE

    Exercise: $0.40Exp: 2023-05-01→ COMMON STOCK
    1

  • SERIES A CONVERTIBLE NOTE

    (indirect: See Footnote)
    Exercise: $0.40Exp: 2023-05-01→ COMMON STOCK (0 underlying)
    1
SAMLYN ONSHORE FUND, LP
10% Owner
Transactions
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2018-04-30+0→ 259,027 total(indirect: See Footnote)
    Exercise: $0.06Exp: 2023-04-29→ COMMON STOCK (0 underlying)
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2018-04-30+259,027→ 259,027 total
    Exercise: $0.06Exp: 2023-04-29→ COMMON STOCK (259,027 underlying)
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2018-04-30+88,195→ 88,195 total
    Exercise: $0.06Exp: 2023-04-29→ COMMON STOCK (88,195 underlying)
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2018-04-30+0→ 88,195 total(indirect: See Footnote)
    Exercise: $0.06Exp: 2023-04-29→ COMMON STOCK (0 underlying)
Holdings

  • SERIES A CONVERTIBLE NOTE

    Exercise: $0.40Exp: 2023-05-01→ COMMON STOCK
    1

  • WARRANT (RIGHT TO PURCHASE COMMON STOCK)

    (indirect: See Footnote)
    Exercise: $0.10Exp: 2022-12-14→ COMMON STOCK (0 underlying)
    2,062,909

  • SERIES A CONVERTIBLE NOTE

    (indirect: See Footnote)
    Exercise: $0.40Exp: 2023-05-01→ COMMON STOCK (0 underlying)
    1

  • WARRANT (RIGHT TO PURCHASE COMMON STOCK)

    Exercise: $0.10Exp: 2022-12-14→ COMMON STOCK (1,101,062 underlying)
    1,101,062

  • SERIES A CONVERTIBLE NOTE

    (indirect: See Footnote)
    Exercise: $0.40Exp: 2023-05-01→ COMMON STOCK (0 underlying)
    1

  • SERIES A CONVERTIBLE NOTE

    Exercise: $0.40Exp: 2023-05-01→ COMMON STOCK
    1

  • WARRANT (RIGHT TO PURCHASE COMMON STOCK)

    Exercise: $0.10Exp: 2022-12-14→ COMMON STOCK (2,062,909 underlying)
    2,062,909

  • WARRANT (RIGHT TO PURCHASE COMMON STOCK)

    (indirect: See Footnote)
    Exercise: $0.10Exp: 2022-12-14→ COMMON STOCK (0 underlying)
    1,101,062
Samlyn Offshore Master Fund, Ltd.
10% Owner
Transactions
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2018-04-30+259,027→ 259,027 total
    Exercise: $0.06Exp: 2023-04-29→ COMMON STOCK (259,027 underlying)
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2018-04-30+0→ 259,027 total(indirect: See Footnote)
    Exercise: $0.06Exp: 2023-04-29→ COMMON STOCK (0 underlying)
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2018-04-30+0→ 88,195 total(indirect: See Footnote)
    Exercise: $0.06Exp: 2023-04-29→ COMMON STOCK (0 underlying)
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2018-04-30+88,195→ 88,195 total
    Exercise: $0.06Exp: 2023-04-29→ COMMON STOCK (88,195 underlying)
Holdings

  • WARRANT (RIGHT TO PURCHASE COMMON STOCK)

    Exercise: $0.10Exp: 2022-12-14→ COMMON STOCK (1,101,062 underlying)
    1,101,062

  • WARRANT (RIGHT TO PURCHASE COMMON STOCK)

    Exercise: $0.10Exp: 2022-12-14→ COMMON STOCK (2,062,909 underlying)
    2,062,909

  • WARRANT (RIGHT TO PURCHASE COMMON STOCK)

    (indirect: See Footnote)
    Exercise: $0.10Exp: 2022-12-14→ COMMON STOCK (0 underlying)
    2,062,909

  • SERIES A CONVERTIBLE NOTE

    Exercise: $0.40Exp: 2023-05-01→ COMMON STOCK
    1

  • SERIES A CONVERTIBLE NOTE

    (indirect: See Footnote)
    Exercise: $0.40Exp: 2023-05-01→ COMMON STOCK (0 underlying)
    1

  • SERIES A CONVERTIBLE NOTE

    Exercise: $0.40Exp: 2023-05-01→ COMMON STOCK
    1

  • SERIES A CONVERTIBLE NOTE

    (indirect: See Footnote)
    Exercise: $0.40Exp: 2023-05-01→ COMMON STOCK (0 underlying)
    1

  • WARRANT (RIGHT TO PURCHASE COMMON STOCK)

    (indirect: See Footnote)
    Exercise: $0.10Exp: 2022-12-14→ COMMON STOCK (0 underlying)
    1,101,062
Samlyn Partners, LLC
10% Owner
Transactions
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2018-04-30+0→ 259,027 total(indirect: See Footnote)
    Exercise: $0.06Exp: 2023-04-29→ COMMON STOCK (0 underlying)
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2018-04-30+259,027→ 259,027 total
    Exercise: $0.06Exp: 2023-04-29→ COMMON STOCK (259,027 underlying)
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2018-04-30+88,195→ 88,195 total
    Exercise: $0.06Exp: 2023-04-29→ COMMON STOCK (88,195 underlying)
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2018-04-30+0→ 88,195 total(indirect: See Footnote)
    Exercise: $0.06Exp: 2023-04-29→ COMMON STOCK (0 underlying)
Holdings

  • WARRANT (RIGHT TO PURCHASE COMMON STOCK)

    Exercise: $0.10Exp: 2022-12-14→ COMMON STOCK (1,101,062 underlying)
    1,101,062

  • SERIES A CONVERTIBLE NOTE

    (indirect: See Footnote)
    Exercise: $0.40Exp: 2023-05-01→ COMMON STOCK (0 underlying)
    1

  • WARRANT (RIGHT TO PURCHASE COMMON STOCK)

    Exercise: $0.10Exp: 2022-12-14→ COMMON STOCK (2,062,909 underlying)
    2,062,909

  • WARRANT (RIGHT TO PURCHASE COMMON STOCK)

    (indirect: See Footnote)
    Exercise: $0.10Exp: 2022-12-14→ COMMON STOCK (0 underlying)
    1,101,062

  • SERIES A CONVERTIBLE NOTE

    (indirect: See Footnote)
    Exercise: $0.40Exp: 2023-05-01→ COMMON STOCK (0 underlying)
    1

  • WARRANT (RIGHT TO PURCHASE COMMON STOCK)

    (indirect: See Footnote)
    Exercise: $0.10Exp: 2022-12-14→ COMMON STOCK (0 underlying)
    2,062,909

  • SERIES A CONVERTIBLE NOTE

    Exercise: $0.40Exp: 2023-05-01→ COMMON STOCK
    1

  • SERIES A CONVERTIBLE NOTE

    Exercise: $0.40Exp: 2023-05-01→ COMMON STOCK
    1
Footnotes (10)
  • [F1]On April 30, 2018, the Issuer granted options to purchase 259,027 shares of the Issuer's common stock to Samlyn Offshore Master Fund, Ltd. ("Samlyn Offshore Master Fund") as compensation for Michael B. Barry's service as a member of the Issuer's board of directors (the "Board"). The stock options vest as follows: (i) 103,611 of the stock options vested on April 30, 2018; and (ii) 155,416 of the stock options will vest on July 1, 2018, unless earlier terminated due to the termination of Michael B. Barry's service as a member of the Board.
  • [F10]The principal amount of this Series A Convertible Note is $3,480,000. Each holder of a Series A Convertible Note is able to convert, in whole or in part, the outstanding balance of the Series A Convertible Note, plus all accrued but unpaid interest on the Series A Convertible Note, into shares of the Issuer's common stock at a price per share of $0.40, subject to certain anti-dilution adjustments described in the Series A Convertible Notes.
  • [F2]On April 30, 2018, the Issuer granted options to purchase 88,195 shares of the Issuer's common stock to Samlyn Onshore Fund, LP ("Samlyn Onshore Fund") as compensation for Michael B. Barry's service as a member of the Board. The stock options vest as follows: (i) 35,278 of the stock options vested on April 30, 2018; and (ii) 52,917 of the stock options will vest on July 1, 2018, unless earlier terminated due to the termination of Michael B. Barry's service as a member of the Board.
  • [F3]These warrants are currently exercisable.
  • [F4]The reported securities are directly owned by Samlyn Offshore Master Fund.
  • [F5]The reported securities are directly owned by Samlyn Offshore Master Fund, and may be deemed to be indirectly beneficially owned by Samlyn Capital, LLC ("Samlyn Capital"), as the investment manager of Samlyn Offshore Master Fund. The reported securities may also be deemed to be indirectly beneficially owned by Robert Pohly as the principal of Samlyn Capital and Director of Samlyn Offshore Master Fund. Samlyn Capital and Robert Pohly disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
  • [F6]This Series A Convertible Note is currently exercisable.
  • [F7]The reported securities are directly owned by Samlyn Onshore Fund.
  • [F8]The reported securities are directly owned by Samlyn Onshore Fund, and may be deemed to be indirectly beneficially owned by (i) Samlyn Capital, as the investment manager of Samlyn Onshore Fund, and (ii) Samlyn Partners, LLC ("Samlyn Partners"), as the general partner of Samlyn Onshore Fund. The reported securities may also be deemed to be indirectly beneficially owned by Robert Pohly as the principal of Samlyn Capital and Managing Member of Samlyn Partners. Samlyn Capital, Samlyn Partners and Robert Pohly disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that any of them are the beneficial owners of the securities for purposes of Section 16 of the Exchange Act or for any other purpose.
  • [F9]The principal amount of this Series A Convertible Note is $6,520,000. Each holder of a Series A Convertible Note is able to convert, in whole or in part, the outstanding balance of the Series A Convertible Note, plus all accrued but unpaid interest on the Series A Convertible Note, into shares of the Issuer's common stock at a price per share of $0.40, subject to certain anti-dilution adjustments described in the Series A Convertible Notes.

Documents

1 file

Issuer

Applied Minerals, Inc.

CIK 0000008328

→
Entity typeother

Related Parties

1
  • filerCIK 0001421096

Filing Metadata

Form type
4
Filed
May 1, 8:00 PM ET
Accepted
May 2, 5:59 PM ET
Size
34.2 KB
View on SEC.gov