Home > Insider Trading > Filing (0001035443-22-000176)

Filing Details

Accession Number:: 0001035443-22-000176
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2022-06-29 16:37:37
Reporting Period:: 2022-06-27

Accepted Time:: 2022-06-29 16:37:37
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1697532	Applied Therapeutics Inc.	APLT	Real Estate Investment Trusts (6798)	MD

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1035443	Alexandria Real Estate Equities, Inc.	26 North Euclid Avenue Pasadena CA 91101	No	No	Yes	No
1722024	Alexandria Venture Investments, Llc	26 North Euclid Avenue Pasadena CA 91101	No	No	Yes	No
1776437	Alexandria Equities No. 7, Llc	26 North Euclid Avenue Pasadena CA 91101	No	No	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2022-06-27	1,435,000	$1.00	2,378,977	No	4	P	Indirect	By subsidiary
Common Stock	Acquisiton	2022-06-27	2,065,000	$1.00	4,555,077	No	4	P	Indirect	By subsidiary

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	By subsidiary
No	4	P	Indirect	By subsidiary

Reported Derivative Transactions

Show Other Fields >>

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Pre-Funded Warrant	Acquisiton	2022-06-27	615,000	$1.00	615,000	$0.00
Common Stock	Pre-Funded Warrant	Acquisiton	2022-06-27	885,000	$1.00	885,000	$0.00
Common Stock	Common Stock Warrant	Acquisiton	2022-06-27	2,050,000	$0.00	2,050,000	$1.00
Common Stock	Common Stock Warrant	Acquisiton	2022-06-27	2,950,000	$0.00	2,950,000	$1.00

Remaning Holdings	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
615,000	No	4	P	Indirect
885,000	No	4	P	Indirect
2,050,000	No	4	P	Indirect
2,950,000	No	4	P	Indirect

Footnotes

These securities were purchased at a combined public offering price of $1.00 per share of Common Stock and associated Common Stock Warrant (or, in the case of the Pre-Funded Warrants, $0.9999 per Pre-Funded Warrant and associated Common Stock Warrant).
These securities are held directly by Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc.
These securities are held directly by Alexandria Venture Investments, LLC ("AVI"), an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.
The Pre-Funded Warrants are exercisable immediately and will expire five years from the date of issuance. The Pre-Funded Warrants may not be exercised to the extent such exercise would cause the holder (together with its affiliates, any other persons acting as a group together with the holder or any of the holder's affiliates, and any other persons whose beneficial ownership of the Issuer's common stock would or could be aggregated with the holder's for purposes of Section 13(d) or Section 16 of the Securities Exchange Act of 1934, as amended) to beneficially own more than 19.99% of the Issuer's common stock outstanding immediately after giving effect to such exercise.
The Common Stock Warrants are exercisable immediately and will expire five years from the date of issuance. The Common Stock Warrants may not be exercised to the extent such exercise would cause the holder (together with its affiliates, any other persons acting as a group together with the holder or any of the holder's affiliates, and any other persons whose beneficial ownership of the Issuer's common stock would or could be aggregated with the holder's for purposes of Section 13(d) or Section 16 of the Securities Exchange Act of 1934, as amended) to beneficially own more than 19.99% of the Issuer's common stock outstanding immediately after giving effect to such exercise.