SEC Comment Letter for APPLIED ENERGETICS, INC. (AERG, AERGP) (CIK 0000879911) (AERG) — Sep 26, 2012
APPLIED ENERGETICS, INC. (AERG, AERGP) (CIK 0000879911)
Date: Sept. 26, 2012 · CIK: 0000879911 · Accession: 0000000000-12-053007
AI Filing Summary & Sentiment
Reasoning
File numbers found in text: 001-14015
Letter
September 26, 2012 Via Facsimile Joseph C. Hayden Principal Executive Officer Applied Energetics, Inc. 3590 East Columbia Street Tucson, AZ 85714
Re: Applied Energetics, Inc. Form 10-K for Fiscal Year Ended December 31, 2011 Filed March 29, 2012 File No. 001-14015
Dear Mr. Hayden :
We have reviewed your filing an d have the following comments. In some of our comments, we may ask you to provide us with information so we may better understand your disclosure.
Please respond to this letter within ten business days by amending your filing, by providing the requested information, or by advising us when you will provide the requested response. If you do not believe our comments apply to your facts and circumstance s or do not believe an amendment is appropriate, please tell us why in your response.
After reviewing any amendment to your filing and the information you provide in response to these comments, we may have additional comments.
Business, pa ge 1
Cautionary Note Concerning Forward -Looking Statements, page 1
1. In future filings, please remove the statement “In making these forward -looking statements, we claim the protection of the safe -harbor for forward -looking statements contained in the Priv ate Securities Reform Act of 1995” as the safe harbor of Section 21E of the Exchange Act is not available to penny stock issuers.
We urge all persons who are responsible for the accuracy and adequacy of the disclosure in the filing to be certain that the filing includes the information the Securities Exchange Act of 1934 and all applicable Exchange Act rules require. Since the company and its management are in possession of all facts relating to a company’s disclosure, they are responsible for the accurac y and adequacy of the disclosures they have made.
Joseph C. Hayden Applied Energetics, Inc. September 26, 2012 Page 2
In responding to our comments, please provide a written statement from the company acknowledging that:
the company is responsible for the adequacy and accuracy of the disclosure in the filing;
staff c omments or changes to disclosure in response to staff comments do not foreclose the Commission from taking any action with respect to the filing; and
the company may not assert staff comments as a defense in any proceeding initiated by the Commission or any person under the federal securities laws of the United States.
Please contact John Dana Brown at (202) 551 -3859 or me at (202) 551 -3642 with any questions.
Sincerely,
/s/ Loan Lauren P. Nguyen
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September 26, 2012 Via Facsimile Joseph C. Hayden Principal Executive Officer Applied Energetics, Inc. 3590 East Columbia Street Tucson, AZ 85714 Re: Applied Energetics, Inc. Form 10-K for Fiscal Year Ended December 31, 2011 Filed March 29, 2012 File No. 001-14015 Dear Mr. Hayden : We have reviewed your filing an d have the following comments. In some of our comments, we may ask you to provide us with information so we may better understand your disclosure. Please respond to this letter within ten business days by amending your filing, by providing the requested information, or by advising us when you will provide the requested response. If you do not believe our comments apply to your facts and circumstance s or do not believe an amendment is appropriate, please tell us why in your response. After reviewing any amendment to your filing and the information you provide in response to these comments, we may have additional comments. Business, pa ge 1 Cautionary Note Concerning Forward -Looking Statements, page 1 1. In future filings, please remove the statement “In making these forward -looking statements, we claim the protection of the safe -harbor for forward -looking statements contained in the Priv ate Securities Reform Act of 1995” as the safe harbor of Section 21E of the Exchange Act is not available to penny stock issuers. We urge all persons who are responsible for the accuracy and adequacy of the disclosure in the filing to be certain that the filing includes the information the Securities Exchange Act of 1934 and all applicable Exchange Act rules require. Since the company and its management are in possession of all facts relating to a company’s disclosure, they are responsible for the accurac y and adequacy of the disclosures they have made. Joseph C. Hayden Applied Energetics, Inc. September 26, 2012 Page 2 In responding to our comments, please provide a written statement from the company acknowledging that: the company is responsible for the adequacy and accuracy of the disclosure in the filing; staff c omments or changes to disclosure in response to staff comments do not foreclose the Commission from taking any action with respect to the filing; and the company may not assert staff comments as a defense in any proceeding initiated by the Commission or any person under the federal securities laws of the United States. Please contact John Dana Brown at (202) 551 -3859 or me at (202) 551 -3642 with any questions. Sincerely, /s/ Loan Lauren P. Nguyen Loan Lauren P. Nguyen Special Counsel