Filing Details
- Accession Number:
- 0001209191-20-033310
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-06-01 19:52:21
- Reporting Period:
- 2020-05-28
- Accepted Time:
- 2020-06-01 19:52:21
- 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 |
|---|---|---|---|---|---|---|---|
| 1775490 | Shoshana Shendelman | C/O Applied Therapeutics, Inc. 545 Fifth Avenue, Suite 1400 New York NY 10017 | President And Ceo | Yes | Yes | Yes | 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 | 2020-02-28 | 290,280 | $0.00 | 3,014,005 | No | 5 | G | Direct | |
| Common Stock | Disposition | 2020-02-28 | 709,720 | $0.00 | 2,304,285 | No | 5 | G | Direct | |
| Common Stock | Acquisiton | 2020-02-28 | 290,280 | $0.00 | 290,280 | No | 5 | G | Indirect | See footnote |
| Common Stock | Acquisiton | 2020-02-28 | 709,720 | $0.00 | 709,720 | No | 5 | G | Indirect | See footnote |
| Common Stock | Acquisiton | 2020-05-28 | 27,624 | $1.00 | 581,909 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-05-28 | 97,376 | $1.44 | 679,285 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-05-28 | 125,000 | $42.70 | 554,285 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | G | Direct | |
| No | 5 | G | Direct | |
| No | 5 | G | Indirect | See footnote |
| No | 5 | G | Indirect | See footnote |
| No | 4 | M | Direct | |
| No | 4 | M | 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 | 2020-05-28 | 27,624 | $0.00 | 27,624 | $1.00 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-05-28 | 97,376 | $0.00 | 97,376 | $1.44 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2027-03-27 | No | 4 | M | Direct | |
| 629,605 | 2028-03-07 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,750,000 | Indirect | See footnote |
| Common Stock | 88,397 | Indirect | See footnote |
| Common Stock | 1,492,094 | Indirect | See footnote |
Footnotes
- These transactions do not reflect sales, but reflect gifts made for estate-planning purposes from the reporting person to her spouse and/or associated trust.
- Through a family trust controlled by the reporting person.
- Through reporting person's spouse.
- Through a grantor retained annuity trust.
- These transactions reflect the exercise of previously vested stock options.
- On May 28, 2020, the reporting person exercised options to purchase 125,000 shares of common stock and sold such shares in a block trade negotiated at a discount from the market closing price of $46.92 per share, for a gross sales price of $42.70.
- Through Clearpoint Strategy Group LLC of which the reporting person is the sole owner.
- Through a family trust controlled by the reporting person's spouse.
- These options became fully vested on April 22, 2019.
- These options became fully vested on March 7, 2020.
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