Applied Therapeutics, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 15 rows, 15 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-05-16: Reporting owner Shendelman Shoshana; Form 4/A; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2019-05-16: Reporting owner Alexandria Equities No. 7, LLC | ALEXANDRIA REAL ESTATE EQUITIES INC | Alexandria Venture Investments, LLC; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2019-05-16: Reporting owner Alexandria Equities No. 7, LLC | ALEXANDRIA REAL ESTATE EQUITIES INC | Alexandria Venture Investments, LLC; Form 4; Security Series B Preferred Stock; Transaction C Conversion of derivative security.
- 2019-05-16: Reporting owner MARCUS JOEL S; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-05-16 | Shendelman Shoshana Director, Officer (President and CEO), 10% Owner | 4/A | Series A Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −88,397 0 owned after | $0.00 | 2019-05-29 | |
| 2019-05-16 | Alexandria Equities No. 7, LLC | ALEXANDRIA REAL ESTATE EQUITIES INC | Alexandria Venture Investments, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · By subsidiary | C Conversion of derivative security | −800,716 0 owned after | no price filed | 2019-05-20 | |
| 2019-05-16 | Alexandria Equities No. 7, LLC | ALEXANDRIA REAL ESTATE EQUITIES INC | Alexandria Venture Investments, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By subsidiary | C Conversion of derivative security | −1,614,860 0 owned after | no price filed | 2019-05-20 | |
| 2019-05-16 | MARCUS JOEL S Director | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −110,497 0 owned after | $0.00 | 2019-05-20 | |
| 2019-05-16 | MARCUS JOEL S Director | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −135,192 0 owned after | $0.00 | 2019-05-20 | |
| 2019-05-16 | Lerner Teena Director | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −9,999 0 owned after | $0.00 | 2019-05-20 | |
| 2019-05-16 | Funtleyder Leslie D. Director | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −3,314 0 owned after | $0.00 | 2019-05-20 | |
| 2019-05-16 | Funtleyder Leslie D. Director | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,325 0 owned after | $0.00 | 2019-05-20 | |
| 2019-05-13 holding as of filing | Alexandria Venture Investments, LLC | ALEXANDRIA REAL ESTATE EQUITIES INC 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · By subsidiary | Holding | no price filed | 2019-05-13 | ||
| 2019-05-13 holding as of filing | Alexandria Venture Investments, LLC | ALEXANDRIA REAL ESTATE EQUITIES INC 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · By subsidiary | Holding | no price filed | 2019-05-13 | ||
| 2019-05-13 holding as of filing | MARCUS JOEL S Director | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2019-05-13 | ||
| 2019-05-13 holding as of filing | MARCUS JOEL S Director | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2019-05-13 | ||
| 2019-05-13 holding as of filing | Lerner Teena Director | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2019-05-13 | ||
| 2019-05-13 holding as of filing | Funtleyder Leslie D. Director | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2019-05-13 | ||
| 2019-05-13 holding as of filing | Funtleyder Leslie D. Director | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2019-05-13 |