Form 4 for APLD Applied Digital Corp.
Accepted 2023-09-27 00:00:00 ET · period of report 2022-08-25 · accession 0001144879-23-000199 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MI | 2023-09-27 | 2023-03-15+ | APLD | MOORE VIRGINIA | Dir | S - Sale | $2.03 | -613.2K | 253.8K | -71% | -$1.25M |
| MI | 2023-09-27 | 2022-08-25 | APLD | MOORE VIRGINIA | Dir | G - Gift | $0.00 | +118.6K | 0 | New | $0 |
| 2023-09-27 | 2022-08-25 | APLD | MOORE VIRGINIA | Dir | G - Gift | $0.00 | -118.6K | 76.2K | -61% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-03-20 | S | D | 52,342 | $2.03 | 313,526 | I Footnote | — | — | (F9) The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.02 to $2.07 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. (F6) Consists of shares of common stock held by B. Riley Securities, Inc., of which Andrew Moore, the Reporting Person's spouse, is the Chief Executive Officer. |
| 2 | Common | Common Stock | 2023-03-17 | S | D | 102,759 | $2.00 | 365,868 | I Footnote | — | — | (F8) The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.99 per share to $2.03 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. (F6) Consists of shares of common stock held by B. Riley Securities, Inc., of which Andrew Moore, the Reporting Person's spouse, is the Chief Executive Officer. |
| 3 | Common | Common Stock | 2023-03-16 | S | D | 44,990 | $2.00 | 468,627 | I Footnote | — | — | (F7) The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.99 to $2.03 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. (F6) Consists of shares of common stock held by B. Riley Securities, Inc., of which Andrew Moore, the Reporting Person's spouse, is the Chief Executive Officer. |
| 4 | Common | Common Stock | 2023-03-15 | S | D | 100,000 | $1.96 | 513,617 | I Footnote | — | — | (F5) The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.95 to $1.98 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. (F6) Consists of shares of common stock held by B. Riley Securities, Inc., of which Andrew Moore, the Reporting Person's spouse, is the Chief Executive Officer. |
| 5 | Common | Common Stock | 2022-08-25 | G | A | 267,617 | $0.00 | 386,247 | I Footnote | — | — | (F2) Includes 76,191 shares of restricted stock that vest on November 10, 2023 so long as the Reporting Person is a director of the issuer on such date. (F6) Consists of shares of common stock held by B. Riley Securities, Inc., of which Andrew Moore, the Reporting Person's spouse, is the Chief Executive Officer. |
| 6 | Common | Common Stock | 2022-08-25 | G | A | 118,630 | $0.00 | 118,630 | I See Footnote | — | — | (F2) Includes 76,191 shares of restricted stock that vest on November 10, 2023 so long as the Reporting Person is a director of the issuer on such date. (F4) Held by the Moore Family Trust, of which Virginia Moore is a trustee. Such shares were transferred as a gift from the Reporting Person's spouse and Reporting Person. |
| 7 | Common | Common Stock | 2022-08-25 | G | D | 267,617 | $0.00 | 0 | I Footnote | — | — | (F3) Consists of shares of common stock held by Andrew Moore, the Reporting Person's spouse. Such shares were transferred as a gift to the Moore Family Trust. (F4) Held by the Moore Family Trust, of which Virginia Moore is a trustee. Such shares were transferred as a gift from the Reporting Person's spouse and Reporting Person. |
| 8 | Common | Common Stock | 2022-08-25 | G | D | 118,630 | $0.00 | 76,191 | D Footnote | — | — | (F1) Consists of common stock held directly by the Reporting person. Such shares were transferred as a gift to the Moore Family Trust. (F2) Includes 76,191 shares of restricted stock that vest on November 10, 2023 so long as the Reporting Person is a director of the issuer on such date. (F3) Consists of shares of common stock held by Andrew Moore, the Reporting Person's spouse. Such shares were transferred as a gift to the Moore Family Trust. |
| 9 | Common | Common Stock | 2023-03-22 | S | D | 5,201 | $2.20 | 308,325 | I Footnote | — | — | (F10) The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.20 to $2.22 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. (F6) Consists of shares of common stock held by B. Riley Securities, Inc., of which Andrew Moore, the Reporting Person's spouse, is the Chief Executive Officer. |
| 10 | Common | Common Stock | 2023-03-27 | S | D | 64,011 | $2.05 | 0 | I | — | — | (F13) The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.04 to $2.10 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. (F14) This reflects a correction of a ministerial error. Previously, an additional 454 shares were shown as held in error. |
| 11 | Common | Common Stock | 2023-03-24 | S | D | 189,359 | $2.06 | 64,465 | I Footnote | — | — | (F12) The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.05 to $2.08 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. (F6) Consists of shares of common stock held by B. Riley Securities, Inc., of which Andrew Moore, the Reporting Person's spouse, is the Chief Executive Officer. |
| 12 | Common | Common Stock | 2023-03-23 | S | D | 54,501 | $2.12 | 253,824 | I Footnote | — | — | (F11) The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.06 to $2.21 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. (F6) Consists of shares of common stock held by B. Riley Securities, Inc., of which Andrew Moore, the Reporting Person's spouse, is the Chief Executive Officer. |