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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK) | $ 0.12 (1) | 04/30/2018 | A | 129,514 (1) | (2) | 04/29/2023 | COMMON STOCK | 129,514 (1) | $ 0 | 129,514 (1) | D (3) | ||||
STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK) | $ 0.12 (1) | 04/30/2018 | A | 0 | (2) | 04/29/2023 | COMMON STOCK | 0 | $ 0 | 129,514 (1) | I | See Footnote (4) | |||
STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK) | $ 0.12 (1) | 04/30/2018 | A | 44,097 (1) | (2) | 04/29/2023 | COMMON STOCK | 44,097 (1) | $ 0 | 44,097 (1) | D (5) | ||||
STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK) | $ 0.12 (1) | 04/30/2018 | A | 0 | (2) | 04/29/2023 | COMMON STOCK | 0 | $ 0 | 44,097 (1) | I | See Footnote (6) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SAMLYN CAPITAL, LLC 500 PARK AVENUE, 2ND FLOOR NEW YORK, NY 10022 |
X | X | ||
Samlyn Partners, LLC C/O SAMLYN CAPITAL, LLC 500 PARK AVENUE, 2ND FLOOR NEW YORK, NY 10022 |
X | |||
SAMLYN ONSHORE FUND, LP C/O SAMLYN CAPITAL, LLC 500 PARK AVENUE, 2ND FLOOR NEW YORK, NY 10022 |
X | |||
Samlyn Offshore Master Fund, Ltd. C/O INTERTRUST CORP SVCS (CAYMAN) LTD 190 ELGIN AVENUE, GEORGE TOWN GRAND CAYMAN, E9 KY1-9007 |
X | |||
POHLY ROBERT C/O SAMLYN CAPITAL, LLC 500 PARK AVENUE, 2ND FLOOR NEW YORK, NY 10022 |
X |
Samlyn Capital, LLC, By: Samlyn, LP, its sole member, By: Samlyn GP, LLC, its general partner, By: /s/ Robert Pohly, Managing Member | 01/04/2019 | |
**Signature of Reporting Person | Date | |
Samlyn Partners, LLC, By: /s/ Robert Pohly, Managing Member | 01/04/2019 | |
**Signature of Reporting Person | Date | |
Samlyn Onshore Fund, LP, By: Samlyn Partners, LLC, its general partner, By: /s/ Robert Pohly, Managing Member | 01/04/2019 | |
**Signature of Reporting Person | Date | |
Samlyn Offshore Master Fund, Ltd., By: /s/ Robert Pohly, Director | 01/04/2019 | |
**Signature of Reporting Person | Date | |
/s/ Robert Pohly | 01/04/2019 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | This Form 4 amendment corrects the strike price and the number of shares subject to the stock option as a result of Applied Minerals, Inc. correcting and replacing the stock option originally issued on April 30, 2018. |
(2) | These stock options are currently exercisable. |
(3) | The reported securities are directly owned by Samlyn Offshore Master Fund, Ltd. ("Samlyn Offshore Master Fund"). |
(4) | 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. |
(5) | The reported securities are directly owned by Samlyn Onshore Fund, LP ("Samlyn Onshore Fund"). |
(6) | 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. |