Page 1

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington , D.C. 20549 FORM 10 - K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30 , 2021 TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from 50 Health Sciences Drive , Stony Brook , New York ( Address of principal executive offices ) Title of each class Common Stock , $ 0.001 par value to Commission File Number 001-36745 APPLIED DNA SCIENCES , INC . ( Exact name of registrant as specified in its charter ) Delaware ( State or other jurisdiction of incorporation or organization ) Trading Symbol ( s ) 59-2262718 ( I.R.S. Employer Identification No. ) 11790 ( Zip Code ) Securities registered pursuant to Section 12 ( b ) of the Act : ( 631 ) 240-8800 ( Registrant's telephone number , including area code ) Name of each exchange on which registered The Nasdaq Stock Market LLC APDN Securities registered pursuant to Section 12 ( g ) of the Act : None Indicate by check mark if the registrant is a well - known seasoned issuer , as defined in Rule 405 of the Securities Act . Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15 ( d ) of the Act . Yes No Indicate by check mark whether the registrant ( 1 ) has filed all reports required to be filed by Section 13 or 15 ( d ) of the Securities Exchange Act of 1934 during the preceding 12 months ( or for such shorter period that the registrant was required to file such reports ) , and ( 2 ) has been subject to such filing requirements for the past 90 days . Yes No Non - accelerated filer > ☐ Smaller reporting company Yes Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S - T ( § 232.405 of this chapter ) during the preceding 12 months ( or for such shorter period that the registrant was required to submit such files ) . Yes No Indicate by check mark whether the registrant is a large accelerated filer , an accelerated filer , a non - accelerated filer , a smaller reporting company , or an emerging growth company . See the definitions of “ large accelerated filer , ” “ accelerated filer ” , “ smaller reporting company ” , and “ emerging growth company " in Rule 12b - 2 of the Exchange Act . Large accelerated filer Accelerated filer Emerging growth company If an emerging growth company , indicate by a check mark if the registrant has elected to not use the extended transition period of complying with any new or revised financial accounting standards provided pursuant to Section 13 ( a ) of the Exchange Act . No Indicate by check mark whether the registrant has filed a report on and attestation to its management's assessment of the effectiveness of its internal control over financial reporting under Section 404 ( b ) of the Sarbanes - Oxley Act ( 15 U.S.C. 7262 ( b ) ) by the registered public accounting firm that prepared or issued its audit report . Indicate by check mark whether the registrant is a shell company ( as defined in Rule 12b - 2 of the Act ) . Yes X No The aggregate market value of the Registrant's voting and non - voting common stock held by non - affiliates of the Registrant , based upon the last sale price of the common stock reported on The Nasdaq Stock Market as of the last business day of the Registrant's most recently completed second fiscal quarter ( March 31 , 2021 ) , was approximately $ 45.8 million . Shares of the Registrant's common stock held by each executive officer and director and by each entity or person that , to the Registrant's knowledge , owned 5 % or more of the Registrant's outstanding common stock as of March 31 , 2021 have been excluded in that such persons may be deemed to be affiliates of the Registrant . This determination of affiliate status is not necessarily a conclusive determination for other purposes . As of December 2 , 2021 , the Registrant had outstanding 7,486,120 shares of common stock , par value $ 0.001 per share . DOCUMENTS INCORPORATED BY REFERENCE Part III of this Annual Report on Form 10 - K will be incorporated by reference from certain portions of the Registrant's definitive Proxy Statement for its 2022 Annual Meeting of Shareholders , or will be included in an amendment hereto , to be filed not later than 120 days after the close of the fiscal year ended September 30 , 2021. Except with respect to information specifically incorporated by reference in the Annual Report on Form 10 - K , the Proxy Statement is not deemed to be filed as part hereof .