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Filing Details

Accession Number:: 0001209191-20-042085
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-07-09 21:55:31
Reporting Period:: 2020-07-07

Accepted Time:: 2020-07-09 21:55:31
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

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2020-07-07	15,000	$1.44	569,285	No	4	M	Direct
Common Stock	Disposition	2020-07-07	1,995	$31.63	567,290	No	4	S	Direct
Common Stock	Disposition	2020-07-07	13,005	$32.25	554,285	No	4	S	Direct
Common Stock	Acquisiton	2020-07-08	15,000	$1.44	569,285	No	4	M	Direct
Common Stock	Disposition	2020-07-08	12,889	$32.21	556,396	No	4	S	Direct
Common Stock	Disposition	2020-07-08	2,111	$32.98	554,285	No	4	S	Direct
Common Stock	Acquisiton	2020-07-09	15,000	$1.44	569,285	No	4	M	Direct
Common Stock	Disposition	2020-07-09	10,936	$30.90	558,349	No	4	S	Direct
Common Stock	Disposition	2020-07-09	4,064	$31.64	554,285	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option (Right to Buy)	Disposition	2020-07-07	15,000	$0.00	15,000	$1.44
Common Stock	Stock Option (Right to Buy)	Disposition	2020-07-08	15,000	$0.00	15,000	$1.44
Common Stock	Stock Option (Right to Buy)	Disposition	2020-07-09	15,000	$0.00	15,000	$1.44

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
614,605	2028-03-07	No	4	M	Direct
599,605	2028-03-07	No	4	M	Direct
584,605	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
Common Stock	290,280	Indirect	See footnote

Footnotes

Compensatory options granted under Applied Therapeutics, Inc.'s 2016 Equity Incentive Plan, exercised pursuant to the reporting person's previously disclosed written trading plan with Goldman Sachs & Co. LLC, dated May 28, 2020, filed as Exhibit 99.4 to Amendment No. 1 to the reporting person's Schedule 13D, 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 previously disclosed written trading plan with Goldman Sachs & Co. LLC, dated May 28, 2020, filed as Exhibit 99.4 to Amendment No. 1 to the reporting person's Schedule 13D, 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 $31.0100 to $32.0050 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 $32.0100 to $32.6100 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 $31.6100 to $32.5800 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 $32.6500 to $33.3100 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 $30.3400 to $31.3300 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 $31.3500 to $32.2200 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.
Through a grantor retained annuity trust.
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.
Through a family trust controlled by the reporting person.
These options became fully vested on March 7, 2020.