Washington, D.C. 20549





Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934


Date of Report (Date of earliest event reported): February 14, 2020



(Exact name of registrant as specified in its charter)


Delaware   001-38898   81-3405262
(State or Other Jurisdiction of
  (Commission File Number)   (I.R.S. Employer Identification


545 5th Avenue, Suite 1400
New York, NY 10017
(Address of Principal Executive Offices)   (Zip Code)


Registrant’s telephone number, including area code: (212) 220-9226


Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:


¨            Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)


¨            Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)


¨            Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))


¨            Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))


Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).


Emerging growth company               x


If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.      x


Securities registered pursuant to Section 12(b) of the Act:


Title of each class   Trading Symbol(s)   Name of each exchange on which
Common stock   APLT   The Nasdaq Stock Market LLC






Item 8.01.  Other Events


Applied Therapeutics, Inc. (the “Company”) currently intends to hold its first Annual Meeting of Stockholders (the “Annual Meeting”) on June 4, 2020, at a time and location to be determined and specified in the Company’s proxy statement related to the Annual Meeting.  Under the SEC’s rules, stockholders who have continuously held at least $2,000 in market value, or 1%, of the common stock of the Company for at least one year by the date they submit the proposal are eligible to submit a proposal.  The Company has set the deadline for submission of proposals to be included in its proxy materials for the Annual Meeting as of March 6, 2020. Accordingly, in order for a stockholder proposal to be considered for inclusion in the Company’s proxy materials for the Annual Meeting, the proposal must be received by the Secretary of the Company at the Company’s offices at 545 5th Avenue, Suite 1400, New York, NY 10017, on or before such date, and comply with the procedures and requirements set forth in Rule 14a-8 under the Exchange Act.


In accordance with the advance notice requirements contained in the Amended and Restated Bylaws of the Company (the “Bylaws”), for director nominations or other business to be brought before the Annual Meeting by a stockholder, other than Rule 14a-8 proposals described above, written notice must be delivered to the Secretary of the Company no later than March 6, 2020. These stockholder notices also must comply with the requirements of the Bylaws and will not be effective otherwise.







Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.


Dated: February 14, 2020 By: /s/ Mark Vignola
  Name: Mark Vignola, Ph.D.
  Title: Chief Financial Officer