Sec Form 4 Filing - ALEXANDRIA REAL ESTATE EQUITIES, INC. @ Applied Therapeutics Inc. - 2021-02-17

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
ALEXANDRIA REAL ESTATE EQUITIES, INC.
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)
(Last) (First) (Middle)
26 NORTH EUCLID AVENUE
3. Date of Earliest Transaction (MM/DD/YY)
02/17/2021
(Street)
PASADENA, CA91101
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 02/17/2021 P 43,478 A $ 23 1,287,455 I By subsidiary ( 1 )
Common Stock 02/17/2021 J 43,478 ( 2 ) D 1,243,977 I By subsidiary ( 1 )
Common Stock 02/17/2021 J 43,478 ( 2 ) A 2,190,077 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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 of Derivative Security: 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
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
ALEXANDRIA REAL ESTATE EQUITIES, INC.
26 NORTH EUCLID AVENUE
PASADENA, CA91101
X
Alexandria Equities No. 7, LLC
26 NORTH EUCLID AVENUE
PASADENA, CA91101
X
Alexandria Venture Investments, LLC
26 NORTH EUCLID AVENUE
PASADENA, CA91101
X
Signatures
ALEXANDRIA EQUITIES NO. 7, LLCBy: ARE-Special Services, LLC, managing memberBy: ALEXANDRIA REAL ESTATE EQUITIES, L.P., managing memberBy: ARE-QRS CORP., general partnerBy: /s/ Dean A. Shigenaga, Chief Financial Officer 02/18/2021
Signature of Reporting Person Date
By: /s/ Dean A. ShigenagaChief Financial OfficerALEXANDRIA EQUITIES NO. 7, LLCBy: ARE-Special Services, LLC, managing member 02/18/2021
Signature of Reporting Person Date
By: ALEXANDRIA REAL ESTATE EQUITIES, L.P., managing memberBy: ARE-QRS CORP., general partnerBy: /s/ Dean A. Shigenaga, Chief Financial Officer 02/18/2021
Signature of Reporting Person Date
Explanation of Responses:
( 1 )These shares are held directly by Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc.
( 2 )These shares have been transferred from AE7 to Alexandria Venture Investments, LLC ("AVI") upon acquisition, an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.
( 3 )These shares are held directly by AVI.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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