Director Lord Albert L was granted 1,950,000 shares (SEC Form 4)
$APCX
Computer Software: Prepackaged Software
Technology
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
| Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
AppTech Payments Corp. [ APCX ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 12/18/2015 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock | 12/18/2015 | A | 2 | A | $0.95 | 2 | I | By Trusts(1) | ||
| Common Stock | 12/28/2015 | A | 105,263 | A | $1.425 | 105,265 | I | By Trusts(1) | ||
| Common Stock | 05/26/2016 | A | 13,157 | A | $0.76 | 118,422 | I | By Trusts(1) | ||
| Common Stock | 02/23/2021 | A | 31,578 | A | $1.9 | 150,000 | I | By Trusts(1) | ||
| Common Stock | 02/04/2025 | A | 300,000(2)(8) | A | $0.833 | 450,000 | I | By Trust(3) | ||
| Common Stock | 02/04/2025 | A | 1,000,000(4)(10) | A | $1 | 1,450,000 | I | By Trust(3) | ||
| Common Stock | 02/04/2025 | A | 500,000(5)(10) | A | $1 | 1,950,000 | I | By Fund(6) | ||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Firm Warrant 4 | $0.9 | 02/04/2025 | A | 300,000(7) | 12/30/2024 | 12/30/2029 | Common Stock | 300,000 | (8) | 300,000 | I | By Trust(9) | |||
| Firm Warrant 5 | $1.2 | 02/04/2025 | A | 450,000(7) | 12/30/2024 | 12/30/2029 | Common Stock | 450,000 | (8) | 750,000 | I | By Trust(9) | |||
| Firm Warrant 6 | $0.9 | 02/04/2025 | A | 1,000,000(10) | 12/30/2024 | 12/30/2029 | Common Stock | 1,000,000 | (11) | 1,750,000 | I | By Trust(9) | |||
| Firm Warrant 6 | $0.9 | 02/04/2025 | A | 500,000(12) | 12/30/2024 | 12/30/2029 | Common Stock | 500,000 | (11) | 2,250,000 | I | By Fund(13) | |||
| Firm Warrant 7 | $1.2 | 02/04/2025 | A | 1,500,000(10) | 12/30/2024 | 12/30/2029 | Common Stock | 1,500,000 | (11) | 3,750,000 | I | By Trust(9) | |||
| Firm Warrant 7 | $1.2 | 02/04/2025 | A | 750,000(12) | 12/30/2024 | 12/30/2029 | Common Stock | 750,000 | (11) | 4,500,000 | I | By Fund(13) | |||
| Explanation of Responses: |
| 1. The Albert L. Lord Jr. Revocable Trust dated May 10, 2017, & the Suzanne D. Lord Revocable Trust dated May 10, 2017. Mr. Lord claims beneficial ownership of such shares and is the trustee for both trusts. |
| 2. Shares were transferred by AFIOS Partners 6 to the Albert L. Lord, Jr. 2025 Spousal Estate Reduction Trust. |
| 3. The Albert L. Lord, Jr. 2025 Spousal Estate Reduction Trust dated January 17, 2025. Mr. Lord claims beneficial ownership of such shares and is the trustee. |
| 4. Shares were transferred by AFIOS Partners 7 to the Albert L. Lord, Jr. 2025 Spousal Estate Reduction Trust. |
| 5. Shares were transferred by AFIOS Partners 7 to the Starfish Fund. |
| 6. The Starfish Fund dated July 2, 2007. Mr. Lord claims beneficial ownership of such shares and is the President. |
| 7. Warrants were transferred by AFIOS Partners 6 to the Albert L. Lord, Jr. 2025 Spousal Estate Reduction Trust. |
| 8. Warrants were issued in conjunction with direct investment to the Company, where each $0.833 investment resulted in the issuance of one share of common stock, one warrant exercisable at $0.90, and one hundred fifty percent additional warrant coverage exercisable at $1.20. |
| 9. The Albert L. Lord, Jr. 2025 Spousal Estate Reduction Trust dated January 17, 2025. Mr. Lord claims beneficial ownership of such warrants and is the trustee. |
| 10. Warrants were transferred by AFIOS Partners 7 to the Albert L. Lord, Jr. 2025 Spousal Estate Reduction Trust. |
| 11. Warrants were issued in conjunction with direct investment to the Company, where each $1.00 investment resulted in the issuance of one share of common stock, one warrant exercisable at $0.90, and one hundred fifty percent additional warrant coverage exercisable at $1.20. |
| 12. Warrants were transferred by AFIOS Partners 7 to the Starfish Fund. |
| 13. The Starfish Fund dated July 2, 2007. Mr. Lord claims beneficial ownership of such warrants and is the President. |
| /s/ Albert L. Lord | 02/05/2025 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||