Earnings Feed
Start Free
Home/Filings/4/0000919574-19-003054
4//SEC Filing

SAMLYN CAPITAL, LLC 4

Accession 0000919574-19-003054

CIK 0000008328other
View on SEC.govCompany Profile

Filed

Apr 25, 8:00 PM ET

Accepted

Apr 26, 6:21 PM ET

Size

39.3 KB

Accession

0000919574-19-003054

Insider Transaction Report

Form 4
Period: 2019-04-25
Applied Minerals, Inc.AMNL
Samlyn Offshore Master Fund, Ltd.
10% Owner
Transactions
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2019-04-25+136,000→ 136,000 total
    Exercise: $0.04Exp: 2029-04-25→ COMMON STOCK (136,000 underlying)
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2019-04-25+364,000→ 364,000 total
    Exercise: $0.04Exp: 2029-04-25→ COMMON STOCK (364,000 underlying)
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2019-04-25+0→ 364,000 total(indirect: See Footnote)
    Exercise: $0.04Exp: 2029-04-25→ COMMON STOCK (0 underlying)
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2019-04-25+0→ 136,000 total(indirect: See Footnote)
    Exercise: $0.04Exp: 2029-04-25→ COMMON STOCK (0 underlying)
Holdings

  • STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    (indirect: See Footnote)
    Exercise: $0.12Exp: 2023-04-29→ COMMON STOCK (0 underlying)
    129,514

  • 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

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

  • STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    Exercise: $0.12Exp: 2023-04-29→ COMMON STOCK (44,097 underlying)
    44,097

  • WARRANT (RIGHT TO PURCHASE COMMON STOCK)

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

  • STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    Exercise: $0.12Exp: 2023-04-29→ COMMON STOCK (129,514 underlying)
    129,514

  • STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    (indirect: See Footnote)
    Exercise: $0.12Exp: 2023-04-29→ COMMON STOCK (0 underlying)
    44,097

  • 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

  • SERIES A CONVERTIBLE NOTE

    Exercise: $0.40Exp: 2023-05-01→ COMMON STOCK
    1
SAMLYN CAPITAL, LLC
10% Owner
Transactions
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2019-04-25+0→ 364,000 total(indirect: See Footnote)
    Exercise: $0.04Exp: 2029-04-25→ COMMON STOCK (0 underlying)
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2019-04-25+364,000→ 364,000 total
    Exercise: $0.04Exp: 2029-04-25→ COMMON STOCK (364,000 underlying)
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2019-04-25+136,000→ 136,000 total
    Exercise: $0.04Exp: 2029-04-25→ COMMON STOCK (136,000 underlying)
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2019-04-25+0→ 136,000 total(indirect: See Footnote)
    Exercise: $0.04Exp: 2029-04-25→ 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

  • 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

  • STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    Exercise: $0.12Exp: 2023-04-29→ COMMON STOCK (129,514 underlying)
    129,514

  • STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    Exercise: $0.12Exp: 2023-04-29→ COMMON STOCK (44,097 underlying)
    44,097

  • STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    (indirect: See Footnote)
    Exercise: $0.12Exp: 2023-04-29→ COMMON STOCK (0 underlying)
    44,097

  • 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

  • STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    (indirect: See Footnote)
    Exercise: $0.12Exp: 2023-04-29→ COMMON STOCK (0 underlying)
    129,514

  • 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
SAMLYN ONSHORE FUND, LP
10% Owner
Transactions
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2019-04-25+0→ 364,000 total(indirect: See Footnote)
    Exercise: $0.04Exp: 2029-04-25→ COMMON STOCK (0 underlying)
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2019-04-25+364,000→ 364,000 total
    Exercise: $0.04Exp: 2029-04-25→ COMMON STOCK (364,000 underlying)
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2019-04-25+136,000→ 136,000 total
    Exercise: $0.04Exp: 2029-04-25→ COMMON STOCK (136,000 underlying)
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2019-04-25+0→ 136,000 total(indirect: See Footnote)
    Exercise: $0.04Exp: 2029-04-25→ COMMON STOCK (0 underlying)
Holdings

  • STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    Exercise: $0.12Exp: 2023-04-29→ COMMON STOCK (129,514 underlying)
    129,514

  • STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    (indirect: See Footnote)
    Exercise: $0.12Exp: 2023-04-29→ COMMON STOCK (0 underlying)
    44,097

  • 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)

    (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)

    (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

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

  • STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    (indirect: See Footnote)
    Exercise: $0.12Exp: 2023-04-29→ COMMON STOCK (0 underlying)
    129,514

  • STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    Exercise: $0.12Exp: 2023-04-29→ COMMON STOCK (44,097 underlying)
    44,097
Samlyn Partners, LLC
10% Owner
Transactions
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2019-04-25+0→ 364,000 total(indirect: See Footnote)
    Exercise: $0.04Exp: 2029-04-25→ COMMON STOCK (0 underlying)
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2019-04-25+364,000→ 364,000 total
    Exercise: $0.04Exp: 2029-04-25→ COMMON STOCK (364,000 underlying)
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2019-04-25+136,000→ 136,000 total
    Exercise: $0.04Exp: 2029-04-25→ COMMON STOCK (136,000 underlying)
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2019-04-25+0→ 136,000 total(indirect: See Footnote)
    Exercise: $0.04Exp: 2029-04-25→ 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

  • SERIES A CONVERTIBLE NOTE

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

  • STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    Exercise: $0.12Exp: 2023-04-29→ COMMON STOCK (129,514 underlying)
    129,514

  • STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    (indirect: See Footnote)
    Exercise: $0.12Exp: 2023-04-29→ COMMON STOCK (0 underlying)
    129,514

  • STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    Exercise: $0.12Exp: 2023-04-29→ COMMON STOCK (44,097 underlying)
    44,097

  • STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    (indirect: See Footnote)
    Exercise: $0.12Exp: 2023-04-29→ COMMON STOCK (0 underlying)
    44,097

  • 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

  • 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

  • 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
POHLY ROBERT
10% Owner
Transactions
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2019-04-25+0→ 364,000 total(indirect: See Footnote)
    Exercise: $0.04Exp: 2029-04-25→ COMMON STOCK (0 underlying)
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2019-04-25+0→ 136,000 total(indirect: See Footnote)
    Exercise: $0.04Exp: 2029-04-25→ COMMON STOCK (0 underlying)
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2019-04-25+364,000→ 364,000 total
    Exercise: $0.04Exp: 2029-04-25→ COMMON STOCK (364,000 underlying)
  • Award

    STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    2019-04-25+136,000→ 136,000 total
    Exercise: $0.04Exp: 2029-04-25→ COMMON STOCK (136,000 underlying)
Holdings

  • STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    Exercise: $0.12Exp: 2023-04-29→ COMMON STOCK (129,514 underlying)
    129,514

  • STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    (indirect: See Footnote)
    Exercise: $0.12Exp: 2023-04-29→ COMMON STOCK (0 underlying)
    129,514

  • STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    (indirect: See Footnote)
    Exercise: $0.12Exp: 2023-04-29→ COMMON STOCK (0 underlying)
    44,097

  • WARRANT (RIGHT TO PURCHASE COMMON STOCK)

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

  • SERIES A CONVERTIBLE NOTE

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

  • STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)

    Exercise: $0.12Exp: 2023-04-29→ COMMON STOCK (44,097 underlying)
    44,097

  • 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)

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

  • 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

  • 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
Footnotes (11)
  • [F1]On April 25, 2019, the Issuer granted options to purchase 364,000 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 vested on the grant date and are currently exercisable.
  • [F10]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.
  • [F11]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 25, 2019, the Issuer granted options to purchase 136,000 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 vested on the grant date and are currently exercisable.
  • [F3]These stock options are currently exercisable.
  • [F4]These warrants are currently exercisable.
  • [F5]The reported securities are directly owned by Samlyn Offshore Master Fund.
  • [F6]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. 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.
  • [F7]This Series A Convertible Note is currently exercisable.
  • [F8]The reported securities are directly owned by Samlyn Onshore Fund.
  • [F9]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.

Documents

1 file

Issuer

Applied Minerals, Inc.

CIK 0000008328

→
Entity typeother
IncorporatedDE

Related Parties

1
  • filerCIK 0001421097

Filing Metadata

Form type
4
Filed
Apr 25, 8:00 PM ET
Accepted
Apr 26, 6:21 PM ET
Size
39.3 KB
View on SEC.gov