| Delaware | | | 81-3405262 | | |||
| (State or other jurisdiction of incorporation or organization) | | | (I.R.S. Employer Identification Number) | |
| Large accelerated filer ☐ | | | Accelerated filer ☐ | |
| Non-accelerated filer ☒ | | | Smaller reporting company ☒ | |
| | | | Emerging growth company ☒ | |
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Title of Each Class of Securities to be Registered(1) | | | | Amount to be Registered(2)(3) | | | | Proposed Maximum Offering Price Per Unit(2)(3) | | | | Proposed Maximum Aggregate Offering Price(2)(3) | | | | Amount of Registration Fee(4) | | ||||||
Common stock, $0.0001 par value per share | | | | | | | | | | | | | | | | | | | | | | | |
Preferred stock, $0.0001 par value per share | | | | | | | | | | | | | | | | | | | | | | | |
Depositary shares(5) | | | | | | | | | | | | | | | | | | | | | | | |
Debt securities | | | | | | | | | | | | | | | | | | | | | | | |
Warrants | | | | | | | | | | | | | | | | | | | | | | | |
Total | | | | $300,000,000 | | | | | | | | | $ | 300,000,000 | | | | | | $ | 38,940 | | |
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12 | | | ||||||
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| | | Beneficial Ownership Before this Offering | | | | | | | | | Beneficial Ownership After this Offering | | ||||||||||||||||||
Selling Stockholder | | | Number of Shares Owned | | | Percentage of Outstanding Shares | | | Shares Offered Hereby | | | Number of Shares Owned(1) | | | Percentage of Outstanding Shares | | |||||||||||||||
Janus Henderson Biotech Innovation Master Fund Limited(2) | | | | | 6,128,928 | | | | | | 5.79% | | | | | | 2,574,286 | | | | | | 3,554,642 | | | | | | 3.36% | | |
Janus Henderson Horizon Fund – Biotechnology Fund(2) | | | | | 285,714 | | | | | | * | | | | | | 285,714 | | | | | | — | | | | | | * | | |
Perceptive Life Sciences Master Fund, Ltd.(3) | | | | | 10,005,003 | | | | | | 9.27% | | | | | | 2,860,000 | | | | | | 7,145,003 | | | | | | 6.75% | | |
Tang Capital Partners, LP(4) | | | | | 2,630,000 | | | | | | 2.48% | | | | | | 1,430,000 | | | | | | 1,200,000 | | | | | | 1.13% | | |
Alyeska Master Fund, LP(5) | | | | | 5,489,226 | | | | | | 5.00% | | | | | | 800,000 | | | | | | 4,689,226 | | | | | | 4.27% | | |
Venrock Healthcare Capital Partners EG, L.P.(6)(7) | | | | | 22,967,667 | | | | | | 18.99% | | | | | | 1,087,229 | | | | | | 21,880,438 | | | | | | 18.09% | | |
Venrock Healthcare Capital Partners III, L.P.(6)(7) | | | | | 6,604,665 | | | | | | 5.93% | | | | | | 311,597 | | | | | | 6,293,068 | | | | | | 5.65% | | |
VHCP Co-Investment Holdings III, LLC(6)(7) | | | | | 660,702 | | | | | | * | | | | | | 31,174 | | | | | | 629,528 | | | | | | * | | |
Adage Capital Partners L.P.(8) | | | | | 2,649,784 | | | | | | 2.50% | | | | | | 750,000 | | | | | | 1,899,784 | | | | | | 1.79% | | |
Frazier Life Sciences Public Fund, L.P.(9) | | | | | 919,392 | | | | | | * | | | | | | 718,432 | | | | | | 200,960 | | | | | | * | | |
Frazier Life Sciences Public Overage Fund, L.P.(10) | | | | | 464,820 | | | | | | * | | | | | | 363,220 | | | | | | 101,600 | | | | | | * | | |
Frazier Life Sciences XI, L.P.(11) | | | | | 283,833 | | | | | | * | | | | | | 221,793 | | | | | | 62,040 | | | | | | * | | |
Frazier Life Sciences X, L.P.(12) | | | | | 161,955 | | | | | | * | | | | | | 126,555 | | | | | | 35,400 | | | | | | * | | |
Logos Global Master Fund LP(13) | | | | | 750,000 | | | | | | 0.71% | | | | | | 600,000 | | | | | | 150,000 | | | | | | * | | |
Entities Affiliated with Vestal Point Capital, LP(14) | | | | | 5,105,000 | | | | | | 4.82% | | | | | | 500,000 | | | | | | 4,605,000 | | | | | | 4.35% | | |
Rock Springs Capital Master Fund LP(15) | | | | | 1,620,000 | | | | | | 1.53% | | | | | | 320,000 | | | | | | 1,300,000 | | | | | | 1.23% | | |
Four Pines Master Fund LP(15) | | | | | 257,918 | | | | | | * | | | | | | 60,000 | | | | | | 197,918 | | | | | | * | | |
Woodline Master Fund LP(16) | | | | | 225,000 | | | | | | * | | | | | | 225,000 | | | | | | — | | | | | | * | | |
Octagon Investments Master Fund LP(17) | | | | | 225,000 | | | | | | * | | | | | | 225,000 | | | | | | — | | | | | | * | | |
Catalio Public Equities Master Fund, LP(18) | | | | | 344,205 | | | | | | * | | | | | | 170,714 | | | | | | 173,491 | | | | | | * | | |
StemPoint Capital Master Fund LP(19) | | | | | 522,932 | | | | | | * | | | | | | 195,000 | | | | | | 327,932 | | | | | | * | | |
Titan Biotech Dislocation Fund SP(19) | | | | | 385,834 | | | | | | * | | | | | | 30,000 | | | | | | 355,834 | | | | | | * | | |
GAKASA Holdings LLC(20) | | | | | 5,799,687 | | | | | | 5.48% | | | | | | 225,000 | | | | | | 5,574,687 | | | | | | 5.26% | | |
Sphera Biotech Master Fund LP(21) | | | | | 482,564 | | | | | | * | | | | | | 50,000 | | | | | | 432,564 | | | | | | * | | |
BEMAP Master Fund Ltd.(22) | | | | | 104,855 | | | | | | * | | | | | | 4,211 | | | | | | 100,644 | | | | | | * | | |
Blackstone CSP-MST FMAP Fund(22) | | | | | 104,856 | | | | | | * | | | | | | 4,211 | | | | | | 100,645 | | | | | | * | | |
Multi-Manager Access Vehicle LP(22) | | | | | 88,552 | | | | | | * | | | | | | 3,559 | | | | | | 84,993 | | | | | | * | | |
Parkman HP Master Fund LP(22) | | | | | 571,966 | | | | | | * | | | | | | 22,481 | | | | | | 549,485 | | | | | | * | | |
Schonfeld EXT Master Fund LP(23) | | | | | 1,009,534 | | | | | | * | | | | | | 40,538 | | | | | | 968,996 | | | | | | * | | |
Laurion Capital Master Fund Ltd.(24) | | | | | 1,481,006 | | | | | | 1.40% | | | | | | 50,000 | | | | | | 1,431,006 | | | | | | 1.35% | | |
Total(25) | | | | | 78,330,598 | | | | | | 70.60% | | | | | | 14,285,714 | | | | | | 64,044,884 | | | | | | 57.45% | | |
| Securities and Exchange Commission Registration Fee | | | | $ | 38,940 | | |
| FINRA Filing Fee | | | | $ | 45,500 | | |
| Accounting Fees and Expenses | | | | $ | 15,000 | | |
| Legal Fees and Expenses | | | | $ | 150,000 | | |
| Printing Fees | | | | $ | 10,000 | | |
| Transfer Agents and Trustees’ Fees and Expenses | | | | $ | 20,000 | | |
| Miscellaneous | | | | $ | 20,560 | | |
| Total | | | | $ | 300,000 | | |
| Securities and Exchange Commission Registration Fee | | | | $ | 13,874.40 | | |
| FINRA Filing Fee | | | | | 45,500 | | |
| Accounting Fees and Expenses | | | | | 15,000 | | |
| Legal Fees and Expenses | | | | | 75,000 | | |
| Printing Fees | | | | | 12,000 | | |
| Transfer Agents and Trustees’ Fees and Expenses | | | | | 20,000 | | |
| Miscellaneous | | | | | 0 | | |
| Total | | | | $ | 181,374.40 | | |
| | | | APPLIED THERAPEUTICS, INC. | | |||
| | | | By: | | | /s/ Shoshana Shendelman Shoshana Shendelman, Ph.D. President and Chief Executive Officer | |
| Name | | | Title | | | Date | |
| /s/ Shoshana Shendelman, Ph.D. | | | President and Chief Executive Officer (Principal Executive Officer) | | | | |
| /s/ | | | Chief Financial Officer and Director (Principal Financial Officer) | | | | |
| /s/ | | | Chief Accounting Officer (Principal Accounting Officer) | | | | |
| /s/ | |||||||
Teena Lerner, Ph.D. | | | Director | | |
| ||||||||
| /s/ Stacy Kanter | | | Director | | | March 22, 2024 | |
| /s/ Joel S. Joel S. Marcus | | | Director | | | | |
| /s/ Jay S. Skyler, M.D., MACP | | | Director | | | |