ALEXANDRIA REAL ESTATE EQUITIES, INC. - 12 Oct 2023 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/ Marc E. Binda, Chief Financial Officer and Treasurer
Issuer symbol
APLT
Transactions as of
12 Oct 2023
Net transactions value
$0
Form type
4
Filing time
16 Oct 2023, 19:17:08 UTC
Previous filing
26 Jul 2023
Next filing
02 Nov 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction APLT Common Stock Other +1,600,000 +35% 6,155,077 12 Oct 2023 By subsidiary F1, F2
transaction APLT Common Stock Other -1,600,000 -67% 778,977 12 Oct 2023 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 Other +615,000 +69% 1,500,000 12 Oct 2023 Common Stock 615,000 $0.000100 By subidiary F1, F2, F4
transaction APLT Pre-Funded Warrant Other -615,000 -100% 0 12 Oct 2023 Common Stock 0 $0.000100 By subsidiary F1, F3, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These shares have been transferred from Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc. to Alexandria Venture Investments, LLC ("AVI"), an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.
F2 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.
F3 These securities are held directly by Alexandria Equities No. 7, LLC ("AE7"), a 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.