Alexandria Real Estate Equities, Inc. - Jun 27, 2022 Form 4 Insider Report for Applied Therapeutics Inc. (APLT)

Role
10%+ Owner
Signature
ALEXANDRIA EQUITIES NO. 7, LLC By: ARE-Special Services, LLC, managing member By: ALEXANDRIA REAL ESTATE EQUITIES, L.P., managing member By: ARE-QRS CORP., general partner By: /s/ Dean A. Shigenaga, President and Chief Financial Officer
Stock symbol
APLT
Transactions as of
Jun 27, 2022
Transactions value $
$4,999,850
Form type
4
Date filed
6/29/2022, 04:37 PM
Previous filing
Feb 25, 2022
Next filing
Jun 8, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction APLT Common Stock Purchase $1.44M +1.44M +152.02% $1.00 2.38M Jun 27, 2022 By subsidiary F1, F2
transaction APLT Common Stock Purchase $2.07M +2.07M +82.93% $1.00 4.56M Jun 27, 2022 By subsidiary F1, F3

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction APLT Pre-Funded Warrant Purchase $615K +615K $1.00 615K Jun 27, 2022 Common Stock 615K $0.00 By subsidiary F1, F2, F4
transaction APLT Pre-Funded Warrant Purchase $885K +885K $1.00 885K Jun 27, 2022 Common Stock 885K $0.00 By subidiary F1, F3, F4
transaction APLT Common Stock Warrant Purchase +2.05M 2.05M Jun 27, 2022 Common Stock 2.05M $1.00 By subsidiary F1, F2, F5
transaction APLT Common Stock Warrant Purchase +2.95M 2.95M Jun 27, 2022 Common Stock 2.95M $1.00 By subsidiary F1, F3, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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).
F2 These securities are held directly by Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc.
F3 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.
F4 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.
F5 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.