Current Report · Items 3.02, 9.01 · 8-K

Applied Energetics, Inc

AERGOTCEQUITYCurrent

Unregistered Sales of Equity Securities

Filed Oct 9, 2025Accepted Oct 9, 2025, 5:25 PM EDTCIK 879911Accession 0001213900-25-097866

Company context

Applied Energetics, Inc. specializes in advanced laser and photonics systems, particularly fiber-based ultrashort pulse (USP) laser technologies. With 25 patents and 3 patents pending, Applied Energetics’ proprietary architecture enables orders of magnitude size- weight-power reductions, a key differentiator when compared with traditional continuous wave (CW) laser technology with larger footprints. AE’s powerful, dual-use systems are designed for integration and deployment on numerous potential defense platforms for the delivery of high intensity, ultrashort pulses of light to disable or destroy a target. These technologies have applications in both national security and commercial markets. Today, AE’s USP optical technologies are being designed to offer flexibility and power for complex missions in national security such as enhancing layered defense strategies to counter complex threats.

Current securities

AERGOTC · EQUITY · Current AERGPOTC · PREFERRED · Current

Recent company filings

Disclosure sections

Items 3.02, 9.01

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Item 3.02Item 3.02 - Unregistered Sales of Equity

Item 3.02 Unregistered Sales of Equity Securities. On October 8, 2025, the company completed the placement of 5,995,675 shares of its common stock, par value, $0.001 per share, some of which were underlying pre-funded common stock purchase warrants, in a private sale to individual purchasers at a price of $1.80 per share (or $1.799 per underlying share for pre-funded warrants), for aggregate proceeds in the amount of $10,789,999. The pre-funded warrants are exercisable immediately at a price of $0.001 per share but may not be executed in any amount which would cause the holder thereof to beneficially own in excess of 4.99% of the company’s common stock. The company has agreed to use its best efforts to include the shares for registration with the Securities and Exchange Commission in the registration statement it files. All of the purchasers are accredited, sophisticated investors, and the issuance of the shares was not in connection with any public offering in accordance with Section 4(a)(2) of the Securities Act of 1933.

Filed exhibits (1)

EX-99.1 (by filename) ea026087001ex99-1_applied.htm

EX-99.1 2 ea026087001ex99-1_applied.htm PRESS RELEASE, DATED OCTOBER 9, 2025 -- APPLIED ENERGETICS ANNOUNCES COMPLETION OF $10.8 MILLION PRIVATE PLACEMENT OFFERING Exhibit 99.1 Applied Energetics Announces Completion of $10.8 Million Private Placement Offering TUCSON, AZ, October 9, 2025 / Applied Energetics, Inc. (OTCQB:AERG), a pioneer in ultrashort pulse laser (USPL) and advanced directed energy solutions, today announced that it has closed a private placement (the "Private Placement") of 5,995,674 million shares of its common stock (or pre-funded warrants in lieu thereof) to a group of existing accredited investors at a purchase price of $1.80 per share (or $1.799 per pre-funded warrant in lieu thereof). The pre-funded warrants are exercisable immediately upon issuance at a price of $0.001 per share until exercised in full but may not be executed in any amount which would cause the holder thereof to beneficially own 5% or more of the company's common stock. The aggregate proceeds to the Company from the private placement are approximately $10.8 million. The Company intends to use the proceeds for product development, recruitment and retention of employees, investment in…

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