Filing Details
- Accession Number:
- 0001209191-21-002846
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-01-08 21:39:48
- Reporting Period:
- 2021-01-06
- Accepted Time:
- 2021-01-08 21:39:48
- 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 |
|---|---|---|---|---|---|---|---|
| 1775410 | Riccardo Perfetti | C/O Applied Therapeutics, Inc. 545 5Th Avenue, Suite 1400 New York NY 10017 | Chief Medical Officer | No | Yes | 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 | Acquisiton | 2021-01-06 | 7,765 | $1.44 | 7,765 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-01-06 | 165 | $22.17 | 7,600 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-01-06 | 7,600 | $23.50 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-01-07 | 765 | $1.44 | 765 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-01-07 | 765 | $21.88 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-01-08 | 7,985 | $1.44 | 7,985 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-01-08 | 300 | $21.92 | 7,685 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-01-08 | 7,685 | $23.18 | 0 | 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 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | 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 | 2021-01-06 | 7,765 | $0.00 | 7,765 | $1.44 |
| Common Stock | Stock Option (Right to Buy | Disposition | 2021-01-07 | 765 | $0.00 | 765 | $1.44 |
| Common Stock | Stock Option (Right to Buy | Disposition | 2021-01-08 | 7,985 | $0.00 | 7,985 | $1.44 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 198,684 | 2028-12-16 | No | 4 | M | Direct | |
| 197,919 | 2028-12-16 | No | 4 | M | Direct | |
| 189,934 | 2028-12-16 | No | 4 | M | Direct |
Footnotes
- Compensatory options granted under Applied Therapeutics, Inc.'s 2016 Equity Incentive Plan, exercised automatically pursuant to the reporting person's written trading plan previously entered into on September 16, 2020, providing for the sale of shares underlying compensatory options in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- Automatic sales made pursuant to the reporting person's pre-existing 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 $21.9700 to $22.3000 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 $23.0000 to $23.8800 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 $21.5000 to $22.1600 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 $21.4000 to $22.2100 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 $22.8700 to $23.4150 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.
- Thirty-three percent (33%) of the shares subject to the option vested on August 27, 2018, and one twenty-fourth (1/24th) of the remaining shares subject to the Option vested or shall vest each month thereafter, subject to Reporting Person continuing to provide service through each such date.
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