SEC Form 4/A · accession 0000919574-19-000105
Applied Minerals, Inc. · AMNL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owners
SAMLYN ONSHORE FUND, LP
10% Owner
Robert Pohly
10% Owner
SAMLYN CAPITAL, LLC
Director · 10% Owner
Samlyn Partners, LLC
10% Owner
Samlyn Offshore Master Fund, Ltd.
10% Owner
Period of report
Apr 30, 2018
Accepted (ET)
Jan 4, 2019 · 5:21 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000008328
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)F1,F3,F2 | $0.12 | Apr 30, 2018 | A | 129,514 | A | — | Apr 29, 2023 | COMMON STOCK | 129,514 | 129,514 | D |
| STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)F1,F4,F2 | $0.12 | Apr 30, 2018 | A | 0 | A | — | Apr 29, 2023 | COMMON STOCK | 0 | 129,514 | I |
| STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)F1,F5,F2 | $0.12 | Apr 30, 2018 | A | 44,097 | A | — | Apr 29, 2023 | COMMON STOCK | 44,097 | 44,097 | D |
| STOCK OPTION (RIGHT TO PURCHASE COMMON STOCK)F1,F6,F2 | $0.12 | Apr 30, 2018 | A | 0 | A | — | Apr 29, 2023 | COMMON STOCK | 0 | 44,097 | I |
Explanation of responses
- F1This 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.
- F2These stock options are currently exercisable.
- F3The reported securities are directly owned by Samlyn Offshore Master Fund, Ltd. ("Samlyn Offshore Master Fund").
- F4The 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.
- F5The reported securities are directly owned by Samlyn Onshore Fund, LP ("Samlyn Onshore Fund").
- F6The 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.