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Applied Therapeutics, Inc. — Director's Dealing 2022
Jan 12, 2022
34263_dirs_2022-01-11_924c392e-e19e-4ff7-b2d5-b13b34228dba.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Applied Therapeutics Inc. (APLT)
CIK: 0001697532
Period of Report: 2022-01-07
Reporting Person: Shendelman Shoshana (Director, President and CEO, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-01-07 | Common Stock | A | 120900 | $0.00 | Acquired | 606086 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2022-01-07 | Employee Stock Option (Right to Buy) | $4.17 | A | 80600 | Acquired | 2032-01-07 | Common Stock (80600) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1750000 | Indirect |
| Common Stock | 1492094 | Indirect |
| Common Stock | 709720 | Indirect |
| Common Stock | 290280 | Indirect |
| Common Stock | 88397 | Indirect |
Footnotes
F1: Consists of compensatory Restricted Stock Units granted under Applied Therapeutics, Inc.'s 2019 Equity Incentive Plan. Each compensatory Restricted Stock Unit represents a contingent right to receive one share of the issuer's common stock. One-fourth (1/4th) of the compensatory Restricted Stock Units shall vest on January 7, 2023, and one-twelfth (1/12th) of the remaining shares subject to the compensatory Restricted Stock Units shall vest each quarter thereafter, subject to the Reporting Person continuing to provide services through each such date.
F2: Through a grantor retained annuity trust.
F3: Through a family trust controlled by the reporting person's spouse.
F4: Through the reporting person's spouse.
F5: Through a family trust controlled by the reporting person.
F6: Through Clearpoint Strategy Group LLC of which the reporting person is the sole owner.
F7: Consists of compensatory Options granted under Applied Therapeutics, Inc.'s 2019 Equity Incentive Plan. One-fourth (1/4th) of the shares subject to the compensatory Option shall vest on January 7, 2023, and one thirty-sixth (1/36th) of the remaining shares subject to the compensatory Option shall vest each month thereafter, subject to the Reporting Person continuing to provide services through each such date.