UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K/A
(AMENDMENT NO. 1)
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported): November 23, 2015
Applied DNA Sciences, Inc.
(Exact name of registrant as specified in its charter)
Delaware (State or other jurisdiction of incorporation) |
001-36745 (Commission File Number) |
59-2262718 (IRS Employer Identification No.) |
50 Health Sciences Drive Stony Brook, New York 11790 (Address of principal executive offices; zip code) |
Registrant’s telephone number, including area code:
631-240-8800
N/A
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
☐ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
☐ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
☐ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d 2(b)) |
☐ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
EXPLANATORY NOTE
The registrant hereby amends its Current Report on Form 8-K previously filed on November 23, 2015 (the "Original 8-K") solely for the purpose of amending Item 9.01 of the Original 8-K to (i) add the Placement Agency Agreement, which is being filed as Exhibit 10.1 to this Current Report on Form 8-K/A, and (ii) refile the Form of Securities Purchase Agreement previously filed as Exhibit 10.1 to the Original 8-K in its entirety, which is being filed as Exhibit 10.2 to this Current Report on Form 8-K/A. Other than as set forth in this Explanatory Note, this Form 8-K/A does not amend any other items in the Original 8-K or include any other modifications to the exhibits included as part of the Original 8-K.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits
10.1 | Placement Agency Agreement by and between Applied DNA Sciences, Inc. and Maxim Group LLC, dated November 23, 2015. |
10.2 | Form of Securities Purchase Agreement. |
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Date: November 23, 2015 | APPLIED DNA SCIENCES, INC. | |
By: | /s/ James A. Hayward | |
Name: | James A. Hayward | |
Title: | Chief Executive Officer |
|
EXHIBIT INDEX
Exhibit No. | Description | ||
10.1 | Placement Agency Agreement by and between Applied DNA Sciences, Inc. and Maxim Group LLC, dated November 23, 2015. | ||
10.2 | Form of Securities Purchase Agreement. | ||