SEC FORM 4/A SEC Form 4
FORM 4 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
or Section 30(h) of the Investment Company Act of 1940
 
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
MARCUS JOEL S

(Last) (First) (Middle)
C/O APPLIED THERAPEUTICS, INC.
545 FIFTH AVENUE, SUITE 1400

(Street)
NEW YORK NY 10017

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Applied Therapeutics Inc. [ APLT ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
04/14/2021
4. If Amendment, Date of Original Filed (Month/Day/Year)
04/16/2021
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 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 04/14/2021 M 13,071 A $10(1) 31,524(2) I See footnote(3)
Common Stock 04/14/2021 M 35,911(4) A $4.7(5) 67,435(2) I See footnote(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 (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 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 (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (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: 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) $10 04/14/2021 M 13,071 (6) 05/12/2029 Common Stock 13,071 $0.00 7,389(7) D
Explanation of Responses:
1. The original Form 4 filed on April 16, 2021 (the "Original Form 4") incorrectly reported the option exercise price for 13,071 shares of the issuer's common stock as $4.7 due to an administrative error.
2. This amount reflects the number of securities beneficially owned after the reported transactions on April 14, 2021.
3. Shares held by family trust, of which the reporting person and his spouse are trustees.
4. The Original Form 4 incorrectly reported the number of shares acquired from an option exercise as 67,435 due to an administrative error.
5. The Original Form 4 incorrectly reported the option exercise price for 35,911 shares of the issuer's common stock as $10 due to an administrative error.
6. 13,071 shares subject to the options were vested as of April 13, 2021, with one thirty-sixth (1/36th) of the remaining shares subject to the options vesting each month thereafter, subject to the reporting person continuing to provide service through each such date.
7. The Original Form 4 incorrectly reported the number of options beneficially owned following the reported transaction as 7,839 due to an administrative error.
Remarks:
This Amendment is being filed to correct certain information reported in the Original Form 4 and shall be deemed to correct the amount of securities beneficially owned by the reporting person on Forms 4 filed after April 16, 2021 through the date hereof.
/s/ Shoshana Shendelman, as attorney-in-fact 09/16/2022
** 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 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).
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