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Sec Form 4 Filing - Perfetti Riccardo @ Applied Therapeutics Inc. - 2021-01-06

  1. About Form 4 Filing: Every director, officer or owner of more than ten percent of a class of equity securities registered under Section 12 of the '34 Act must file with the U.S. Securities and Exchange Commission (SEC) a statement of ownership regarding such security. The initial filing is on Form 3 and changes are reported on Form 4. The Annual Statement of beneficial ownership of securities is on Form 5. The forms contain information on the reporting person's relationship to the company and on purchases and sales of such equity securities.
  2. Form 4 is stored in SEC's EDGAR database. EDGAR is Electronic Data Gathering, Analysis and Retrieval System. It is a registered trademark of the SEC.

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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 *
Perfetti Riccardo
2. Issuer Name and Ticker or Trading Symbol
Applied Therapeutics Inc. [ APLT]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Chief Medical Officer
(Last)
(First)
(Middle)
C/O APPLIED THERAPEUTICS, INC., 545 5TH AVENUE, SUITE 1400
3. Date of Earliest Transaction (MM/DD/YY)
01/06/2021
(Street)
NEW YORK, NY10017
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ 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 01/06/2021 M 7,765 ( 1 ) A $ 1.44 7,765 D
Common Stock 01/06/2021 S 165 ( 2 ) D $ 22.17 ( 3 ) 7,600 D
Common Stock 01/06/2021 S 7,600 ( 2 ) D $ 23.5 ( 4 ) 0 D
Common Stock 01/07/2021 M 765 ( 1 ) A $ 1.44 765 D
Common Stock 01/07/2021 S 765 ( 2 ) D $ 21.88 ( 5 ) 0 D
Common Stock 01/08/2021 M 7,985 ( 1 ) A $ 1.44 7,985 D
Common Stock 01/08/2021 S 300 ( 2 ) D $ 21.92 ( 6 ) 7,685 D
Common Stock 01/08/2021 S 7,685 ( 2 ) D $ 23.18 ( 7 ) 0 D
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
Stock Option (Right to Buy) $ 1.44 01/06/2021 M 7,765 ( 1 ) ( 8 ) 12/16/2028 Common Stock 7,765 ( 1 ) $ 0 198,684 D
Stock Option (Right to Buy $ 1.44 01/07/2021 M 765 ( 1 ) ( 8 ) 12/16/2028 Common Stock 765 ( 1 ) $ 0 197,919 D
Stock Option (Right to Buy $ 1.44 01/08/2021 M 7,985 ( 1 ) ( 8 ) 12/16/2028 Common Stock 7,985 ( 1 ) $ 0 189,934 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Perfetti Riccardo
C/O APPLIED THERAPEUTICS, INC.
545 5TH AVENUE, SUITE 1400
NEW YORK, NY10017
Chief Medical Officer
Signatures
/s/ Shoshana Shendelman, Attorney-in-Fact 01/08/2021
** Signature of Reporting Person Date
Explanation of Responses:
( 1 )Compensatory options granted under Applied Therapeutics, Inc.'s 2016 Equity Incentive Plan, exercised automatically pursuant to the reporting person's written trading plan previously entered into on September 16, 2020, providing for the sale of shares underlying compensatory options in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
( 2 )Automatic sales made pursuant to the reporting person's pre-existing written trading plan, providing for the sale of shares underlying compensatory options in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
( 3 )Weighted average price. These shares were sold in multiple transactions at prices ranging from $21.9700 to $22.3000 inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
( 4 )Weighted average price. These shares were sold in multiple transactions at prices ranging from $23.0000 to $23.8800 inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
( 5 )Weighted average price. These shares were sold in multiple transactions at prices ranging from $21.5000 to $22.1600 inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
( 6 )Weighted average price. These shares were sold in multiple transactions at prices ranging from $21.4000 to $22.2100 inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
( 7 )Weighted average price. These shares were sold in multiple transactions at prices ranging from $22.8700 to $23.4150 inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
( 8 )Thirty-three percent (33%) of the shares subject to the option vested on August 27, 2018, and one twenty-fourth (1/24th) of the remaining shares subject to the Option vested or shall vest each month thereafter, subject to Reporting Person continuing to provide service through each such 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).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.