SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response: 0.5
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. Date of Event Requiring Statement (Month/Day/Year)
05/13/2019
3. Issuer Name and Ticker or Trading Symbol
Applied Therapeutics Inc. [ APLT ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
5. 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 Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Series A Preferred Stock (1) (2) Common Stock 800,716 (1) I By subsidiary(3)
Series B Preferred Stock (1) (2) Common Stock 1,614,860 (1) I By subsidiary(3)
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)
Explanation of Responses:
1. The preferred stock is convertible into the Issuer's common stock at a ratio of 1 share of preferred stock to 1 share of common stock at the holder's election and has no expiration date. The preferred stock will automatically convert into common stock upon the closing of the Issuer's initial public offering, for no additional consideration.
2. Not applicable
3. These shares are held directly by Alexandria Venture Investments, LLC, a wholly owned subsidiary of Alexandria Real Estate Equities, Inc. Of these shares, 1,243,977 shares of Series B Preferred Stock are held by Alexandria Venture Investments, LLC as nominee for Alexandria Equities No. 7, LLC, another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.
Remarks:
By: /s/ Dean A. Shigenaga Chief Financial Officer 05/13/2019
By: ALEXANDRIA REAL ESTATE EQUITIES, INC., a Maryland corporation, managing member By: /s/ Dean A. Shigenaga Chief Financial Officer 05/13/2019
** 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 5 (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.