Applied Therapeutics, Inc. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 6 rows, 6 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2023-10-12: Reporting owner Alexandria Venture Investments, LLC | Alexandria Equities No. 7, LLC | ALEXANDRIA REAL ESTATE EQUITIES, INC.; Form 4; Security Pre-Funded Warrant; Transaction J Other acquisition or disposition (describe transaction).
- 2023-10-12: Reporting owner Alexandria Venture Investments, LLC | Alexandria Equities No. 7, LLC | ALEXANDRIA REAL ESTATE EQUITIES, INC.; Form 4; Security Pre-Funded Warrant; Transaction J Other acquisition or disposition (describe transaction).
- 2022-06-27: Reporting owner Alexandria Venture Investments, LLC | Alexandria Equities No. 7, LLC | ALEXANDRIA REAL ESTATE EQUITIES, INC.; Form 4; Security Pre-Funded Warrant; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2022-06-27: Reporting owner Alexandria Venture Investments, LLC | Alexandria Equities No. 7, LLC | ALEXANDRIA REAL ESTATE EQUITIES, INC.; Form 4; Security Pre-Funded Warrant; Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2023-10-12 | Alexandria Venture Investments, LLC | Alexandria Equities No. 7, LLC | ALEXANDRIA REAL ESTATE EQUITIES, INC. 10% Owner | 10% Owner | 10% Owner | 4 | Pre-Funded Warrant Derivative · Indirect · By subidiary | J Other acquisition or disposition (describe transaction) | +615,000 1,500,000 owned after | no price filed | 2023-10-16 | |
| 2023-10-12 | Alexandria Venture Investments, LLC | Alexandria Equities No. 7, LLC | ALEXANDRIA REAL ESTATE EQUITIES, INC. 10% Owner | 10% Owner | 10% Owner | 4 | Pre-Funded Warrant Derivative · Indirect · By subsidiary | J Other acquisition or disposition (describe transaction) | −615,000 0 owned after | no price filed | 2023-10-16 | |
| 2022-06-27 | Alexandria Venture Investments, LLC | Alexandria Equities No. 7, LLC | ALEXANDRIA REAL ESTATE EQUITIES, INC. 10% Owner | 10% Owner | 10% Owner | 4 | Pre-Funded Warrant Derivative · Indirect · By subsidiary | P Open market or private purchase of non-derivative or derivative security | +615,000 615,000 owned after | $1.00 | 2022-06-29 | |
| 2022-06-27 | Alexandria Venture Investments, LLC | Alexandria Equities No. 7, LLC | ALEXANDRIA REAL ESTATE EQUITIES, INC. 10% Owner | 10% Owner | 10% Owner | 4 | Pre-Funded Warrant Derivative · Indirect · By subidiary | P Open market or private purchase of non-derivative or derivative security | +885,000 885,000 owned after | $1.00 | 2022-06-29 | |
| 2022-06-27 | Alexandria Venture Investments, LLC | Alexandria Equities No. 7, LLC | ALEXANDRIA REAL ESTATE EQUITIES, INC. 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrant Derivative · Indirect · By subsidiary | P Open market or private purchase of non-derivative or derivative security | +2,050,000 2,050,000 owned after | $1.00 exercise price | 2022-06-29 | |
| 2022-06-27 | Alexandria Venture Investments, LLC | Alexandria Equities No. 7, LLC | ALEXANDRIA REAL ESTATE EQUITIES, INC. 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrant Derivative · Indirect · By subsidiary | P Open market or private purchase of non-derivative or derivative security | +2,950,000 2,950,000 owned after | $1.00 exercise price | 2022-06-29 |