0001041885-24-000005.txt : 20240327 0001041885-24-000005.hdr.sgml : 20240327 20240327144355 ACCESSION NUMBER: 0001041885-24-000005 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20240327 DATE AS OF CHANGE: 20240327 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: APPLIED ENERGETICS, INC. CENTRAL INDEX KEY: 0000879911 STANDARD INDUSTRIAL CLASSIFICATION: SEARCH, DETECTION, NAVIGATION, GUIDANCE, AERONAUTICAL SYS [3812] ORGANIZATION NAME: 04 Manufacturing IRS NUMBER: 770262908 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-42560 FILM NUMBER: 24789310 BUSINESS ADDRESS: STREET 1: 9070 S. RITA ROAD STREET 2: SUITE 1500 CITY: TUCSON STATE: AZ ZIP: 85747 BUSINESS PHONE: 520-628-7415 MAIL ADDRESS: STREET 1: 9070 S. RITA ROAD STREET 2: SUITE 1500 CITY: TUCSON STATE: AZ ZIP: 85747 FORMER COMPANY: FORMER CONFORMED NAME: IONATRON, INC. DATE OF NAME CHANGE: 20040429 FORMER COMPANY: FORMER CONFORMED NAME: US HOME & GARDEN INC DATE OF NAME CHANGE: 19950714 FORMER COMPANY: FORMER CONFORMED NAME: NATURAL EARTH TECHNOLOGIES INC DATE OF NAME CHANGE: 19930328 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: INGALLS & SNYDER LLC CENTRAL INDEX KEY: 0001041885 ORGANIZATION NAME: IRS NUMBER: 135156620 STATE OF INCORPORATION: NY FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1325 AVENUE OF THE AMERICAS STREET 2: 18TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2122697812 MAIL ADDRESS: STREET 1: 1325 AVENUE OF THE AMERICAS STREET 2: 18TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 SC 13G/A 1 applied13gaisdec2023.txt SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* APPLIED ENERGETICS, INC ----------------------------------------------------- (Name of Issuer) COMMON STOCK, PAR VALUE, $0.001 PER SHARE ----------------------------------------------------- (Title of Class of Securities) 03819M106 ----------------------------------------------------- (CUSIP Number) 12/31/2023 ----------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1(b) [] Rule 13d-1(c) [] Rule 13d-1(d) ---------- *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 the disclosures provided in a prior cover page. The information required in 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). CUSIP No. 266605104 -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON(S) S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON(S) INGALLS & SNYDER LLC 13-5156620 -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] -------------------------------------------------------------------------------- 3. SEC USE ONLY -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION NEW YORK STATE -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES 0 BENEFICIALLY -------------------------------------------------------------- OWNED BY 6. SHARED VOTING POWER EACH 0 REPORTING -------------------------------------------------------------- PERSON 7. SOLE DISPOSITIVE POWER WITH 0 -------------------------------------------------------------- 8. SHARED DISPOSITIVE POWER 18,580,236 -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 18,580,236 -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 8.8% -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* BD, IA -------------------------------------------------------------------------------- Item 1. (a) Name of Issuer: APPLIED ENERGETICS, INC -------------------------------------------------------------- (b) Address of Issuer's Principal Executive Offices: 2480 W RUTHRAUFF ROAD, SUITE 140Q TUSCAN, ARIZONA 85705 -------------------------------------------------------------- Item 2. (a) Name of Person Filing: INGALLS & SNYDER LLC -------------------------------------------------------------- (b) Address of Principal Business Office, or if None, Residence: 1325 AVENUE OF THE AMERICAS, NEW YORK, NY 10019 -------------------------------------------------------------- (c) Citizenship: NY STATE -------------------------------------------------------------- (d) Title of Class of Securities: COMMON STOCK, PAR VALUE $0.001 PER SHARE -------------------------------------------------------------- (e) CUSIP Number: 03819M106 -------------------------------------------------------------- Item 3. If this statement is filed pursuant to Rules 240.13d-(1), or 13d-2(b) or (c), check whether the person filing is a: (a) [X] Broker or Dealer registered under Section 15 of the Act, (15 U.S.C 78o) (b) [ ] Bank as defined in Section 3(a)(6) of the Act, (15 U.S.C 78c) (c) [ ] Insurance Company as defined in Section 3(a)(19) of the Act, (15 U.S.C 78c) (d) [ ] Investment Company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8) (e) [x] Investment Adviser in accordance with Section 240.13d-1(b)(1)(ii)(E) (f) [ ] Employee Benefit Plan or endowment fund in accordance to Section 240.13d-1(b)(ii)(F) (g) [ ] A parent holding company or control person in accordance with Section 240.13d-1(b)(1)(ii)(G) (h) [ ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C 1813) (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C 80a-3) (j) [ ] Group, in accordance with Section 240.13d-1(b)(1)(ii)(J) Item 4. Ownership. (a) Amount beneficially owned: 18,580,236----------, (b) Percent of class: 8.8%----------------------, (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote 0--, (ii) Shared power to vote or to direct the vote 0 ------, (iii) Sole power to dispose or to direct the disposition of 0-----, (iv) Shared power to dispose or to direct the disposition of 18,580,236----- Item 5. Ownership of Five Percent or Less of a Class. INAPPLICABLE Item 6. Ownership of More Than Five Percent on Behalf of Another Person. Ingalls & Snyder, LLC ("I&S") is a registered broker dealer and a registered investment advisor. Shares reported under shared dispositive power include shares held in accounts managed under investment advisory contracts. Item 7. Identification and Classification of the Subsidiary which Acquired the Security Being Reported on By the Parent Holding Company. INAPPLICABLE Item 8. Identification and Classification of Members of the Group. INAPPLICABLE Item 9. Notice of Dissolution of Group. INAPPLICABLE Item 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. 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. Date: 03/20/24 INGALLS & SNYDER LLC BY: /S/ THOMAS O. BOUCHER, JR. ---------------------------------- (Signature)* THOMAS O. BOUCHER, JR. Managing Director ---------------------------------- (Name/Title) * Attention. Intentional misstatements or omissions of fact constitute federal criminal violations (see 18 U.S.C. 1001).