Filing Details
- Accession Number:
- 0001209191-20-053946
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-10-05 21:51:18
- Reporting Period:
- 2020-10-01
- Accepted Time:
- 2020-10-05 21:51:18
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1697532 | Applied Therapeutics Inc. | APLT | Pharmaceutical Preparations (2834) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1775394 | D. Leslie Funtleyder | C/O Applied Therapeutics, Inc. 545 Fifth Avenue, Suite 1400 New York NY 10017 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2020-10-01 | 30,000 | $4.70 | 47,148 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-10-01 | 22,671 | $20.03 | 24,477 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-10-01 | 1,353 | $20.75 | 23,124 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-10-02 | 5,976 | $20.07 | 17,148 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-10-01 | 30,000 | $0.00 | 30,000 | $4.70 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 40,502 | 2029-03-06 | No | 4 | M | Direct |
Footnotes
- Compensatory options granted under Applied Therapeutics, Inc.'s 2016 Equity Incentive Plan, exercised pursuant to the reporting person's written trading plan, providing for the sale of shares underlying compensatory options in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- Sales made pursuant to the reporting person's written trading plan, providing for the sale of shares underlying compensatory options in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- Weighted average price. These shares were sold in multiple transactions at prices ranging from $19.5100 to $20.5000 inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
- Weighted average price. These shares were sold in multiple transactions at prices ranging from $20.5100 to $21.1000 inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
- Weighted average price. These shares were sold in multiple transactions at prices ranging from $19.6500 to $20.5600 inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
- These options became fully vested on May 28, 2019.
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