SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
ALEXANDRIA REAL ESTATE EQUITIES INC

(Last) (First) (Middle)
385 EAST COLORADO BLVD., SUITE 299

(Street)
PASADENA CA 91101

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Applied Therapeutics Inc. [ APLT ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
05/16/2019
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 05/16/2019 C 2,415,576 A (1) 2,415,576 I By subsidiary(2)
Common Stock 05/16/2019 P 975,000 A $10 975,000 I By subsidiary(3)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Series A Preferred Stock (1) 05/16/2019 C 800,716 (1) (1) Common Stock 800,716 (4) 0 I By subsidiary(2)
Series B Preferred Stock (1) 05/16/2019 C 1,614,860 (1) (1) Common Stock 1,614,860 (4) 0 I By subsidiary(2)
1. Name and Address of Reporting Person*
ALEXANDRIA REAL ESTATE EQUITIES INC

(Last) (First) (Middle)
385 EAST COLORADO BLVD., SUITE 299

(Street)
PASADENA CA 91101

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Alexandria Venture Investments, LLC

(Last) (First) (Middle)
385 EAST COLORADO BLVD., SUITE 299

(Street)
PASADENA CA 91101

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Alexandria Equities No. 7, LLC

(Last) (First) (Middle)
385 E. COLORADO BLVD., SUITE 299

(Street)
PASADENA CA 91101

(City) (State) (Zip)
Explanation of Responses:
1. Each share of Series A Preferred Stock and Series B Preferred Stock automatically converted into shares of Issuer's common stock, without payment of additional consideration, on a one-for-one basis, immediately upon the closing of the Issuer's initial public offering on May 16, 2019.
2. These shares are held directly by Alexandria Venture Investments, LLC ("AVI"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc. ("ARE"). Of these shares, 1,243,977 shares are held by AVI as nominee for Alexandria Equities No. 7, LLC ("AE7"), another wholly owned subsidiary of Alexandria Real Estate Equities, Inc. AVI disclaims beneficial ownership of the shares held as nominee for AE7.
3. These shares are held directly by AE7. Does not include 1,243,977 shares held directly by AVI as nominee for AE7, as described in footnote (2), which shares may be deemed to be beneficially owned by AE7.
4. Not applicable
Remarks:
By: /s/ Dean A. Shigenaga Chief Financial Officer 05/20/2019
By: ALEXANDRIA REAL ESTATE EQUITIES, INC., a Maryland corporation, managing member By: /s/ Dean A. Shigenaga Chief Financial Officer 05/20/2019
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, Chief Financial Officer 05/20/2019
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
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