APPLIED THERAPEUTICS, INC.
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(Name of Issuer)
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COMMON STOCK, PAR VALUE $0.0001 PER SHARE
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(Title of Class of Securities)
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03828A 101
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(CUSIP Number)
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Shoshana Shendelman
Applied Therapeutics, Inc. 545 Fifth Avenue, Suite 1400 New York, New York 10017 Telephone: (212) 220-9226 |
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications) |
October 12, 2022
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(Date of Event Which Requires Filing of this Statement)
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1.
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Names of Reporting Persons
Shoshana Shendelman
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2.
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Check the Appropriate Box if a Member of a Group (See Instructions)
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(a) ☐
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(b) ☐
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3.
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SEC Use Only
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4.
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Source of Funds (See Instructions)
PF
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5.
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Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) □
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6.
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Citizenship or Place of Organization
United States of America
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With:
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7.
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Sole Voting Power
5,078,741(1) |
8.
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Shared Voting Power
2,492,094(2)
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9.
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Sole Dispositive Power
5,078,741(1)
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10.
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Shared Dispositive Power
2,492,094(2)
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11.
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Aggregate Amount Beneficially Owned by Each Reporting Person
7,570,835
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12.
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Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ☐
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13.
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Percent of Class Represented by Amount in Row (11)
14.9%(3)
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14.
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Type of Reporting Person (See Instructions)
IN
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(1) |
Includes (a) 88,397 shares held by Clearpoint Strategy Group LLC, of which Dr. Shendelman is the sole owner, (b) 1,750,000 shares held by Sycamore 2022 GRAT, over which Dr. Shendelman holds sole
voting and dispositive power over such shares as the Investment Advisor, and (c) 2,714,649 shares of Common Stock underlying outstanding options that are immediately exercisable or will be immediately exercisable within 60 days of October 14,
2022.
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(2) |
Represents (a) 1,492,094 shares held by Sycamore Family I LLC, of which Dr. Shendelman’s spouse, Vladimir Shendelman, is the sole manager, (b) 290,280 shares held by Ginko Family LLC, of which Dr.
Shendelman is the sole manager and (c) 709,720 shares held by Vladimir Shendelman.
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(3) |
Based upon 48,020,712 shares of Common Stock outstanding as of September 9, 2022. See also footnote 1 above.
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1.
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Names of Reporting Persons
Sycamore Family I LLC
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2.
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Check the Appropriate Box if a Member of a Group (See Instructions)
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(a) ☐
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(b) ☐
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3.
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SEC Use Only
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4.
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Source of Funds (See Instructions)
NA
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5.
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Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) □
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6.
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Citizenship or Place of Organization
Delaware
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With:
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7.
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Sole Voting Power
0 |
8.
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Shared Voting Power
1,492,094
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9.
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Sole Dispositive Power
0
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10.
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Shared Dispositive Power
1,492,094
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11.
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Aggregate Amount Beneficially Owned by Each Reporting Person
1,492,094
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12.
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Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ☐
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13.
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Percent of Class Represented by Amount in Row (11)
3.1%(4)
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14.
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Type of Reporting Person (See Instructions)
OO
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(4) |
Based upon 48,020,712 shares of Common Stock outstanding as of September 9, 2022.
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Date of Transaction
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Quantity of Common Stock Purchased
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Price per Share of Common Stock(1)(2)
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10/12/2022
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38,153
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$0.5227(3)
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10/13/2022
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73,256
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$0.5582(4)
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10/14/2022 | 50,000 | $0.6450(5) |
/s/ Shoshana Shendelman
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Shoshana Shendelman
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Sycamore Family I LLC
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By:
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/s/ Vladimir Shendelman
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Name: Vladimir Shendelman
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Title: Manager
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