Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
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- Peter Lynch
What is insider trading>>
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SEC
1746 POTENTIAL PERSONS WHO ARE TO RESPOND TO
THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM
(2-98) ARE NOT REQUIRED TO RESPOND UNLESS THE FORM
DISPLAYS A CURRENTLY VALID OMB CONTROL
NUMBER.
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UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
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OMB
APPROVAL
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OMB
NUMBER: 3235-0145
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Expires:
October 31, 2002
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Estimated
average burden Hours per
response…14.9
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SCHEDULE
13D
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Under
the Securities Act of 1934
(Amendment
No. 6)*
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APPLIED
ENERGETICS, INC.
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(Name
of Issuer)
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COMMON
STOCK, $.001 PAR VALUE
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(Title
of Class of Securities)
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462070
10 3
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(CUSIP
Number)
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Brad
L. Shiffman, Esq.
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Blank
Rome LLP
405
Lexington Avenue
New
York, New York 10174
(212)
885-5000
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(Name,
Address and Telephone Number of Person
Authorized
to receive Notice and
Communications)
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October
23, 2009
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(Date
of Event which Requires Filing of this
Statement)
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If
the filing person has previously filed a statement on Schedule 13G to report the
acquisition that is the subject of this Schedule 13D, and is filing this
schedule because of §§240.13d-1(e, 240.13d-1(f) or 240.13d-1(g), check the
following box ¨.
Note: Schedules
filed in paper format shall include a signed original and five copies of the
Schedule, including all exhibits. See §240.13d-7 for other parties to
whom copies are to be sent.
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
disclosures provided in a prior cover page.
The
information required on 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).
Page 1 of
4 Pages
CUSIP NO. 902939 10
7
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1.
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NAMES
OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
(ENTITIES ONLY).
Robert
Howard
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2.
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CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(A) o
(B)
o
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3.
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SEC
USE ONLY
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4.
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SOURCE
OF FUNDS (SEE INSTRUCTIONS)
N/A
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5.
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CHECK
IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) or
2(E) o
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6.
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CITIZENSHIP
OR PLACE OF ORGANIZATION
United
States
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NUMBER
OF
SHARES
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7.
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SOLE
VOTING POWER
522,712
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BENEFICIALLY
OWNED
BY
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8.
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SHARED
VOTING POWER
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EACH
REPORTING
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9.
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SOLE
DISPOSITIVE POWER
522,712
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PERSON
WITH
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10.
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SHARED
DISPOSITIVE POWER
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11.
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AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
522,712
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12.
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CHECK
IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE
INSTRUCTIONS) o
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13.
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PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Less
than 1%
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14.
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TYPE
OF REPORTING PERSON*
IN
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Page 2 of
4 Pages
EXPLANATORY
NOTE
This
Amendment is being filed solely to correct the percentage of the Common Stock
beneficially owned by the Reporting Person and the number of outstanding shares
of Common Stock used to calculate the Reporting Person’s percentage ownership as
reflected in Amendment No. 6 to his Schedule 13-D.
Item
1. Security and
Issuer.
This
Schedule 13D relates to the Common Stock, par value $.001 per share ("Common
Stock"), issued by Applied Energetics, Inc., a Delaware corporation (the
"Company"), whose principal executive offices are located at 3590 East Columbia,
Tucson, Arizona 85714.
Item
2. Identity and
Background.
This
statement is filed by Robert Howard (the "Reporting Person"). The address of the
Reporting Person is 145 East 57th Floor - 4th Floor, New York NY
10022. The Reporting Person is a United States citizen.
Item
4. Purpose of
Transaction.
On
October 8, 2009, the Reporting Person gifted 446,000 shares of Common
Stock. On October 23, 2009 and October 26, 2009, the Reporting Person
sold an aggregate of 12,000,000 shares of Common Stock for aggregate proceeds of
$3,033,963.
Item
5. Interest in
Securities of the Issuer.
(a)-(b)
The percentage of Common Stock beneficially owned by the Reporting Person
reflected in this Report is based upon 86,424,948 outstanding shares of Common
Stock on August 5, 2009 according to the Company’s Form 10-Q for the Quarterly
Period Ended June 30, 2009. On October 26, 2009, the Reporting Person
beneficially owned 522,712 shares of Common Stock of the Company which comprises
less than 1% of the issued and outstanding Common Stock.
Page 3 of
4 Pages
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.
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DATE: October
27, 2009
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/s/ Robert
Howard
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Robert
Howard
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Page 4 of
4 Pages