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ALEXANDRIA REAL ESTATE EQUITIES, INC.

Disclosed activity across 2 companies

Tapewire entity
419
SEC CIK
0001035443

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Applied Therapeutics, Inc.APLT · Entity 6770810% ownerJune 04, 2024June 06, 2024

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Applied Therapeutics, Inc.

Report date June 04, 2024 · Filed June 06, 2024

Jointly reported with Alexandria Venture Investments, LLC, Alexandria Equities No. 7, LLC

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy subsidiary6,005,077 Reported balance After 2024-06-04 transaction · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · 2024-06-04 · Sale · Disposed 150,000 · Balance 6,005,077

F1: The price reported in Column 4 is a weighted average price. The shares were sold at prices ranging from $4.12 to $4.32. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.

F2: These securities are held directly by Alexandria Venture Investments, LLC, an affiliate of Alexandria Equities No. 7, LLC ("AE7"), and a wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

Common StockSEC Table I · non-derivativeIndirectBy subsidiary5,855,077 Reported balance After 2024-06-05 transaction · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · 2024-06-05 · Sale · Disposed 150,000 · Balance 5,855,077

F3: The price reported in Column 4 is a weighted average price. The shares were sold at prices ranging from $4.10 to $4.40. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.

F2: These securities are held directly by Alexandria Venture Investments, LLC, an affiliate of Alexandria Equities No. 7, LLC ("AE7"), and a wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

Common StockSEC Table I · non-derivativeIndirectBy subsidiary203,977 Reported balance Holding disclosure · report date 2024-06-04 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 203,977

F4: These securities are held directly by AE7, a wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported in Column 4 is a weighted average price. The shares were sold at prices ranging from $4.12 to $4.32. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.

F2: These securities are held directly by Alexandria Venture Investments, LLC, an affiliate of Alexandria Equities No. 7, LLC ("AE7"), and a wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

F3: The price reported in Column 4 is a weighted average price. The shares were sold at prices ranging from $4.10 to $4.40. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.

F4: These securities are held directly by AE7, a wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

GreenLight Biosciences Holdings, PBC

Report date July 24, 2023 · Filed July 26, 2023

Jointly reported with Alexandria Venture Investments, LLC

Section 16 reporting ended · disclosed 2023-07-26. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Alexandria Venture Investments, LLC0 Reported balance After 2023-07-24 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2023-07-24 · Other · Disposed 1,609,909 · Balance 0

F1: On July 24, 2023, SW MergerCo, Inc. ("Merger Sub") and SW ParentCo, Inc. ("Parent") completed the merger (the "Merger") with and into the Issuer, pursuant to the terms of the Agreement and Plan of Merger, dated as of May 29, 2023, by and among Parent, Merger Sub and the Issuer. In connection with the completion of the Merger, Alexandria Venture Investments, LLC ("AVI") contributed all of the shares of Common Stock held by AVI (the "Rollover Shares") to Parent in exchange for equity interests of Parent. At the effective time of the Merger, each of the Rollover Shares were canceled and ceased to exist and no consideration was paid in respect of such Rollover Shares.

F2: These shares are held directly by Alexandria Venture Investments, LLC, a wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

Filing footnotes · ownership attribution and instrument terms

F1: On July 24, 2023, SW MergerCo, Inc. ("Merger Sub") and SW ParentCo, Inc. ("Parent") completed the merger (the "Merger") with and into the Issuer, pursuant to the terms of the Agreement and Plan of Merger, dated as of May 29, 2023, by and among Parent, Merger Sub and the Issuer. In connection with the completion of the Merger, Alexandria Venture Investments, LLC ("AVI") contributed all of the shares of Common Stock held by AVI (the "Rollover Shares") to Parent in exchange for equity interests of Parent. At the effective time of the Merger, each of the Rollover Shares were canceled and ceased to exist and no consideration was paid in respect of such Rollover Shares.

F2: These shares are held directly by Alexandria Venture Investments, LLC, a wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
June 05, 2024 Filed Jun 6, 2024 22:45 UTC Applied Therapeutics, Inc. APLT · Entity 67708 SaleCommon Stock 150,000 $4.24 $636,000.00
Disclosure

SEC source: 0001035443-24-000171 · wk-form4_1717713946.xml · nonDerivative · entry 2

ALEXANDRIA REAL ESTATE EQUITIES, INC. · CIK 0001035443 · 10% owner

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

Alexandria Equities No. 7, LLC · CIK 0001776437 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By subsidiary

Disclosed balance after: 5,855,077

F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold at prices ranging from $4.10 to $4.40. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: These securities are held directly by Alexandria Venture Investments, LLC, an affiliate of Alexandria Equities No. 7, LLC ("AE7"), and a wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

Read SEC document
June 04, 2024 Filed Jun 6, 2024 22:45 UTC Applied Therapeutics, Inc. APLT · Entity 67708 SaleCommon Stock 150,000 $4.21 $631,500.00
Disclosure

SEC source: 0001035443-24-000171 · wk-form4_1717713946.xml · nonDerivative · entry 1

ALEXANDRIA REAL ESTATE EQUITIES, INC. · CIK 0001035443 · 10% owner

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

Alexandria Equities No. 7, LLC · CIK 0001776437 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By subsidiary

Disclosed balance after: 6,005,077

F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold at prices ranging from $4.12 to $4.32. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: These securities are held directly by Alexandria Venture Investments, LLC, an affiliate of Alexandria Equities No. 7, LLC ("AE7"), and a wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

Read SEC document
November 29, 2023 Filed Dec 1, 2023 23:53 UTC Applied Therapeutics, Inc. APLT · Entity 67708 OtherCommon Stock 575,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001035443-23-000327 · wk-form4_1701474795.xml · nonDerivative · entry 2

ALEXANDRIA REAL ESTATE EQUITIES, INC. · CIK 0001035443 · 10% owner

Alexandria Equities No. 7, LLC · CIK 0001776437 · 10% owner

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By subsidiary

Disclosed balance after: 203,977

F1 · kind: These shares have been transferred from Alexandria Equities No. 7, LLC, ("AE7") a wholly owned subsidiary of Alexandria Real Estate Equities, Inc. to Alexandria Venture Investments, LLC ("AVI"), another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

F1 · price: These shares have been transferred from Alexandria Equities No. 7, LLC, ("AE7") a wholly owned subsidiary of Alexandria Real Estate Equities, Inc. to Alexandria Venture Investments, LLC ("AVI"), another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

F3 · ownership.nature: These securities are held directly by AE7, a wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

Read SEC document
November 29, 2023 Filed Dec 1, 2023 23:53 UTC Applied Therapeutics, Inc. APLT · Entity 67708 OtherCommon Stock 575,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001035443-23-000327 · wk-form4_1701474795.xml · nonDerivative · entry 1

ALEXANDRIA REAL ESTATE EQUITIES, INC. · CIK 0001035443 · 10% owner

Alexandria Equities No. 7, LLC · CIK 0001776437 · 10% owner

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By subsidiary

Disclosed balance after: 6,155,077

F1 · kind: These shares have been transferred from Alexandria Equities No. 7, LLC, ("AE7") a wholly owned subsidiary of Alexandria Real Estate Equities, Inc. to Alexandria Venture Investments, LLC ("AVI"), another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

F1 · price: These shares have been transferred from Alexandria Equities No. 7, LLC, ("AE7") a wholly owned subsidiary of Alexandria Real Estate Equities, Inc. to Alexandria Venture Investments, LLC ("AVI"), another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

F2 · ownership.nature: These securities are held directly by AVI, an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

Read SEC document
November 03, 2023 Filed Nov 6, 2023 21:56 UTC Applied Therapeutics, Inc. APLT · Entity 67708 SaleCommon Stock 143,450 $2.31 $331,369.50
Disclosure

SEC source: 0001035443-23-000315 · wk-form4_1699307758.xml · nonDerivative · entry 2

ALEXANDRIA REAL ESTATE EQUITIES, INC. · CIK 0001035443 · 10% owner

Alexandria Equities No. 7, LLC · CIK 0001776437 · 10% owner

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By subsidiary

Disclosed balance after: 5,580,077

F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold at prices ranging from $2.25 to $2.38. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: These securities are held directly by Alexandria Venture Investments, LLC, an affiliate of Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

Read SEC document
November 02, 2023 Filed Nov 6, 2023 21:56 UTC Applied Therapeutics, Inc. APLT · Entity 67708 SaleCommon Stock 103,808 $2.32 $240,834.56
Disclosure

SEC source: 0001035443-23-000315 · wk-form4_1699307758.xml · nonDerivative · entry 1

ALEXANDRIA REAL ESTATE EQUITIES, INC. · CIK 0001035443 · 10% owner

Alexandria Equities No. 7, LLC · CIK 0001776437 · 10% owner

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By subsidiary

Disclosed balance after: 5,723,527

F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold at prices ranging from $2.30 to $2.39. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: These securities are held directly by Alexandria Venture Investments, LLC, an affiliate of Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

Read SEC document
November 01, 2023 Filed Nov 2, 2023 20:44 UTC Applied Therapeutics, Inc. APLT · Entity 67708 SaleCommon Stock 172,742 $2.36 $407,671.12
Disclosure

SEC source: 0001035443-23-000308 · wk-form4_1698957861.xml · nonDerivative · entry 2

ALEXANDRIA REAL ESTATE EQUITIES, INC. · CIK 0001035443 · 10% owner

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

Alexandria Equities No. 7, LLC · CIK 0001776437 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By subsidiary

Disclosed balance after: 5,827,335

F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold at prices ranging from $2.32 to $2.46. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: These securities are held directly by Alexandria Venture Investments, LLC, an affiliate of Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

Read SEC document
October 31, 2023 Filed Nov 2, 2023 20:44 UTC Applied Therapeutics, Inc. APLT · Entity 67708 SaleCommon Stock 155,000 $2.41 $373,550.00
Disclosure

SEC source: 0001035443-23-000308 · wk-form4_1698957861.xml · nonDerivative · entry 1

ALEXANDRIA REAL ESTATE EQUITIES, INC. · CIK 0001035443 · 10% owner

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

Alexandria Equities No. 7, LLC · CIK 0001776437 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By subsidiary

Disclosed balance after: 6,000,077

F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold at prices ranging from $2.40 to $2.47. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: These securities are held directly by Alexandria Venture Investments, LLC, an affiliate of Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

Read SEC document
October 12, 2023 Filed Oct 16, 2023 23:17 UTC Applied Therapeutics, Inc. APLT · Entity 67708 OtherPre-Funded Warrant · Derivative 615,000 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0001035443-23-000283 · wk-form4_1697498217.xml · derivative · entry 4

ALEXANDRIA REAL ESTATE EQUITIES, INC. · CIK 0001035443 · 10% owner

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

Alexandria Equities No. 7, LLC · CIK 0001776437 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By subsidiary

Disclosed balance after: 0

Underlying: Common Stock · 0 shares

Expires not disclosed

F4 · shares: The Pre-Funded Warrants are exercisable immediately and will expire five years from the date of issuance. The Pre-Funded Warrants may not be exercised to the extent such exercise would cause the holder (together with its affiliates, any other persons acting as a group together with the holder or any of the holder's affiliates, and any other persons whose beneficial ownership of the Issuer's common stock would or could be aggregated with the holder's for purposes of Section 13(d) or Section 16 of the Securities Exchange Act of 1934, as amended) to beneficially own more than 19.99% of the Issuer's common stock outstanding immediately after giving effect to such exercise.

F1 · price: These shares have been transferred from Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc. to Alexandria Venture Investments, LLC ("AVI"), an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

F4 · derivative.exercise_date: The Pre-Funded Warrants are exercisable immediately and will expire five years from the date of issuance. The Pre-Funded Warrants may not be exercised to the extent such exercise would cause the holder (together with its affiliates, any other persons acting as a group together with the holder or any of the holder's affiliates, and any other persons whose beneficial ownership of the Issuer's common stock would or could be aggregated with the holder's for purposes of Section 13(d) or Section 16 of the Securities Exchange Act of 1934, as amended) to beneficially own more than 19.99% of the Issuer's common stock outstanding immediately after giving effect to such exercise.

F4 · derivative.expiration_date: The Pre-Funded Warrants are exercisable immediately and will expire five years from the date of issuance. The Pre-Funded Warrants may not be exercised to the extent such exercise would cause the holder (together with its affiliates, any other persons acting as a group together with the holder or any of the holder's affiliates, and any other persons whose beneficial ownership of the Issuer's common stock would or could be aggregated with the holder's for purposes of Section 13(d) or Section 16 of the Securities Exchange Act of 1934, as amended) to beneficially own more than 19.99% of the Issuer's common stock outstanding immediately after giving effect to such exercise.

F3 · ownership.nature: These securities are held directly by Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

Read SEC document
October 12, 2023 Filed Oct 16, 2023 23:17 UTC Applied Therapeutics, Inc. APLT · Entity 67708 OtherPre-Funded Warrant · Derivative 615,000 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0001035443-23-000283 · wk-form4_1697498217.xml · derivative · entry 3

ALEXANDRIA REAL ESTATE EQUITIES, INC. · CIK 0001035443 · 10% owner

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

Alexandria Equities No. 7, LLC · CIK 0001776437 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By subidiary

Disclosed balance after: 1,500,000

Underlying: Common Stock · 615,000 shares

Expires not disclosed

F4 · shares: The Pre-Funded Warrants are exercisable immediately and will expire five years from the date of issuance. The Pre-Funded Warrants may not be exercised to the extent such exercise would cause the holder (together with its affiliates, any other persons acting as a group together with the holder or any of the holder's affiliates, and any other persons whose beneficial ownership of the Issuer's common stock would or could be aggregated with the holder's for purposes of Section 13(d) or Section 16 of the Securities Exchange Act of 1934, as amended) to beneficially own more than 19.99% of the Issuer's common stock outstanding immediately after giving effect to such exercise.

F1 · price: These shares have been transferred from Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc. to Alexandria Venture Investments, LLC ("AVI"), an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

F4 · derivative.exercise_date: The Pre-Funded Warrants are exercisable immediately and will expire five years from the date of issuance. The Pre-Funded Warrants may not be exercised to the extent such exercise would cause the holder (together with its affiliates, any other persons acting as a group together with the holder or any of the holder's affiliates, and any other persons whose beneficial ownership of the Issuer's common stock would or could be aggregated with the holder's for purposes of Section 13(d) or Section 16 of the Securities Exchange Act of 1934, as amended) to beneficially own more than 19.99% of the Issuer's common stock outstanding immediately after giving effect to such exercise.

F4 · derivative.expiration_date: The Pre-Funded Warrants are exercisable immediately and will expire five years from the date of issuance. The Pre-Funded Warrants may not be exercised to the extent such exercise would cause the holder (together with its affiliates, any other persons acting as a group together with the holder or any of the holder's affiliates, and any other persons whose beneficial ownership of the Issuer's common stock would or could be aggregated with the holder's for purposes of Section 13(d) or Section 16 of the Securities Exchange Act of 1934, as amended) to beneficially own more than 19.99% of the Issuer's common stock outstanding immediately after giving effect to such exercise.

F2 · ownership.nature: These securities are held directly by Alexandria Venture Investments, LLC ("AVI"), an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

Read SEC document
October 12, 2023 Filed Oct 16, 2023 23:17 UTC Applied Therapeutics, Inc. APLT · Entity 67708 OtherCommon Stock 1,600,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001035443-23-000283 · wk-form4_1697498217.xml · nonDerivative · entry 2

ALEXANDRIA REAL ESTATE EQUITIES, INC. · CIK 0001035443 · 10% owner

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

Alexandria Equities No. 7, LLC · CIK 0001776437 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By subsidiary

Disclosed balance after: 778,977

F1 · shares: These shares have been transferred from Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc. to Alexandria Venture Investments, LLC ("AVI"), an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

F1 · price: These shares have been transferred from Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc. to Alexandria Venture Investments, LLC ("AVI"), an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

F3 · ownership.nature: These securities are held directly by Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

Read SEC document
October 12, 2023 Filed Oct 16, 2023 23:17 UTC Applied Therapeutics, Inc. APLT · Entity 67708 OtherCommon Stock 1,600,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001035443-23-000283 · wk-form4_1697498217.xml · nonDerivative · entry 1

ALEXANDRIA REAL ESTATE EQUITIES, INC. · CIK 0001035443 · 10% owner

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

Alexandria Equities No. 7, LLC · CIK 0001776437 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By subsidiary

Disclosed balance after: 6,155,077

F1 · shares: These shares have been transferred from Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc. to Alexandria Venture Investments, LLC ("AVI"), an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

F1 · price: These shares have been transferred from Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc. to Alexandria Venture Investments, LLC ("AVI"), an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

F2 · ownership.nature: These securities are held directly by Alexandria Venture Investments, LLC ("AVI"), an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

Read SEC document
July 24, 2023 Filed Jul 26, 2023 20:30 UTC GreenLight Biosciences Holdings, PBC GRNA · Entity 111075 OtherCommon Stock 1,609,909 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-043416 · doc4.xml · nonDerivative · entry 1

ALEXANDRIA REAL ESTATE EQUITIES, INC. · CIK 0001035443 · See Remarks

Alexandria Venture Investments, LLC · CIK 0001722024 · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Alexandria Venture Investments, LLC

Disclosed balance after: 0

F1 · kind: On July 24, 2023, SW MergerCo, Inc. ("Merger Sub") and SW ParentCo, Inc. ("Parent") completed the merger (the "Merger") with and into the Issuer, pursuant to the terms of the Agreement and Plan of Merger, dated as of May 29, 2023, by and among Parent, Merger Sub and the Issuer. In connection with the completion of the Merger, Alexandria Venture Investments, LLC ("AVI") contributed all of the shares of Common Stock held by AVI (the "Rollover Shares") to Parent in exchange for equity interests of Parent. At the effective time of the Merger, each of the Rollover Shares were canceled and ceased to exist and no consideration was paid in respect of such Rollover Shares.

F1 · price: On July 24, 2023, SW MergerCo, Inc. ("Merger Sub") and SW ParentCo, Inc. ("Parent") completed the merger (the "Merger") with and into the Issuer, pursuant to the terms of the Agreement and Plan of Merger, dated as of May 29, 2023, by and among Parent, Merger Sub and the Issuer. In connection with the completion of the Merger, Alexandria Venture Investments, LLC ("AVI") contributed all of the shares of Common Stock held by AVI (the "Rollover Shares") to Parent in exchange for equity interests of Parent. At the effective time of the Merger, each of the Rollover Shares were canceled and ceased to exist and no consideration was paid in respect of such Rollover Shares.

F2 · ownership.nature: These shares are held directly by Alexandria Venture Investments, LLC, a wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

Read SEC document
June 27, 2022 Filed Jun 29, 2022 20:37 UTC Applied Therapeutics, Inc. APLT · Entity 67708 PurchaseCommon Stock Warrant · Derivative 2,950,000 Not disclosed Strike: $1.00 Not disclosed
Disclosure

SEC source: 0001035443-22-000176 · wf-form4_165653503462000.xml · derivative · entry 6

ALEXANDRIA REAL ESTATE EQUITIES, INC. · CIK 0001035443 · 10% owner

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

Alexandria Equities No. 7, LLC · CIK 0001776437 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By subsidiary

Disclosed balance after: 2,950,000

Underlying: Common Stock · 2,950,000 shares

Expires not disclosed

F1 · price: These securities were purchased at a combined public offering price of $1.00 per share of Common Stock and associated Common Stock Warrant (or, in the case of the Pre-Funded Warrants, $0.9999 per Pre-Funded Warrant and associated Common Stock Warrant).

F5 · derivative.exercise_date: The Common Stock Warrants are exercisable immediately and will expire five years from the date of issuance. The Common Stock Warrants may not be exercised to the extent such exercise would cause the holder (together with its affiliates, any other persons acting as a group together with the holder or any of the holder's affiliates, and any other persons whose beneficial ownership of the Issuer's common stock would or could be aggregated with the holder's for purposes of Section 13(d) or Section 16 of the Securities Exchange Act of 1934, as amended) to beneficially own more than 19.99% of the Issuer's common stock outstanding immediately after giving effect to such exercise.

F5 · derivative.expiration_date: The Common Stock Warrants are exercisable immediately and will expire five years from the date of issuance. The Common Stock Warrants may not be exercised to the extent such exercise would cause the holder (together with its affiliates, any other persons acting as a group together with the holder or any of the holder's affiliates, and any other persons whose beneficial ownership of the Issuer's common stock would or could be aggregated with the holder's for purposes of Section 13(d) or Section 16 of the Securities Exchange Act of 1934, as amended) to beneficially own more than 19.99% of the Issuer's common stock outstanding immediately after giving effect to such exercise.

F3 · ownership.nature: These securities are held directly by Alexandria Venture Investments, LLC ("AVI"), an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

Read SEC document
June 27, 2022 Filed Jun 29, 2022 20:37 UTC Applied Therapeutics, Inc. APLT · Entity 67708 PurchaseCommon Stock Warrant · Derivative 2,050,000 Not disclosed Strike: $1.00 Not disclosed
Disclosure

SEC source: 0001035443-22-000176 · wf-form4_165653503462000.xml · derivative · entry 5

ALEXANDRIA REAL ESTATE EQUITIES, INC. · CIK 0001035443 · 10% owner

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

Alexandria Equities No. 7, LLC · CIK 0001776437 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By subsidiary

Disclosed balance after: 2,050,000

Underlying: Common Stock · 2,050,000 shares

Expires not disclosed

F1 · price: These securities were purchased at a combined public offering price of $1.00 per share of Common Stock and associated Common Stock Warrant (or, in the case of the Pre-Funded Warrants, $0.9999 per Pre-Funded Warrant and associated Common Stock Warrant).

F5 · derivative.exercise_date: The Common Stock Warrants are exercisable immediately and will expire five years from the date of issuance. The Common Stock Warrants may not be exercised to the extent such exercise would cause the holder (together with its affiliates, any other persons acting as a group together with the holder or any of the holder's affiliates, and any other persons whose beneficial ownership of the Issuer's common stock would or could be aggregated with the holder's for purposes of Section 13(d) or Section 16 of the Securities Exchange Act of 1934, as amended) to beneficially own more than 19.99% of the Issuer's common stock outstanding immediately after giving effect to such exercise.

F5 · derivative.expiration_date: The Common Stock Warrants are exercisable immediately and will expire five years from the date of issuance. The Common Stock Warrants may not be exercised to the extent such exercise would cause the holder (together with its affiliates, any other persons acting as a group together with the holder or any of the holder's affiliates, and any other persons whose beneficial ownership of the Issuer's common stock would or could be aggregated with the holder's for purposes of Section 13(d) or Section 16 of the Securities Exchange Act of 1934, as amended) to beneficially own more than 19.99% of the Issuer's common stock outstanding immediately after giving effect to such exercise.

F2 · ownership.nature: These securities are held directly by Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

Read SEC document
June 27, 2022 Filed Jun 29, 2022 20:37 UTC Applied Therapeutics, Inc. APLT · Entity 67708 PurchasePre-Funded Warrant · Derivative 885,000 $1.00 Strike: $0.00 $884,911.50
Disclosure

SEC source: 0001035443-22-000176 · wf-form4_165653503462000.xml · derivative · entry 4

ALEXANDRIA REAL ESTATE EQUITIES, INC. · CIK 0001035443 · 10% owner

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

Alexandria Equities No. 7, LLC · CIK 0001776437 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By subidiary

Disclosed balance after: 885,000

Underlying: Common Stock · 885,000 shares

Expires not disclosed

F1 · price: These securities were purchased at a combined public offering price of $1.00 per share of Common Stock and associated Common Stock Warrant (or, in the case of the Pre-Funded Warrants, $0.9999 per Pre-Funded Warrant and associated Common Stock Warrant).

F4 · derivative.exercise_date: The Pre-Funded Warrants are exercisable immediately and will expire five years from the date of issuance. The Pre-Funded Warrants may not be exercised to the extent such exercise would cause the holder (together with its affiliates, any other persons acting as a group together with the holder or any of the holder's affiliates, and any other persons whose beneficial ownership of the Issuer's common stock would or could be aggregated with the holder's for purposes of Section 13(d) or Section 16 of the Securities Exchange Act of 1934, as amended) to beneficially own more than 19.99% of the Issuer's common stock outstanding immediately after giving effect to such exercise.

F4 · derivative.expiration_date: The Pre-Funded Warrants are exercisable immediately and will expire five years from the date of issuance. The Pre-Funded Warrants may not be exercised to the extent such exercise would cause the holder (together with its affiliates, any other persons acting as a group together with the holder or any of the holder's affiliates, and any other persons whose beneficial ownership of the Issuer's common stock would or could be aggregated with the holder's for purposes of Section 13(d) or Section 16 of the Securities Exchange Act of 1934, as amended) to beneficially own more than 19.99% of the Issuer's common stock outstanding immediately after giving effect to such exercise.

F3 · ownership.nature: These securities are held directly by Alexandria Venture Investments, LLC ("AVI"), an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

Read SEC document
June 27, 2022 Filed Jun 29, 2022 20:37 UTC Applied Therapeutics, Inc. APLT · Entity 67708 PurchasePre-Funded Warrant · Derivative 615,000 $1.00 Strike: $0.00 $614,938.50
Disclosure

SEC source: 0001035443-22-000176 · wf-form4_165653503462000.xml · derivative · entry 3

ALEXANDRIA REAL ESTATE EQUITIES, INC. · CIK 0001035443 · 10% owner

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

Alexandria Equities No. 7, LLC · CIK 0001776437 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By subsidiary

Disclosed balance after: 615,000

Underlying: Common Stock · 615,000 shares

Expires not disclosed

F1 · price: These securities were purchased at a combined public offering price of $1.00 per share of Common Stock and associated Common Stock Warrant (or, in the case of the Pre-Funded Warrants, $0.9999 per Pre-Funded Warrant and associated Common Stock Warrant).

F4 · derivative.exercise_date: The Pre-Funded Warrants are exercisable immediately and will expire five years from the date of issuance. The Pre-Funded Warrants may not be exercised to the extent such exercise would cause the holder (together with its affiliates, any other persons acting as a group together with the holder or any of the holder's affiliates, and any other persons whose beneficial ownership of the Issuer's common stock would or could be aggregated with the holder's for purposes of Section 13(d) or Section 16 of the Securities Exchange Act of 1934, as amended) to beneficially own more than 19.99% of the Issuer's common stock outstanding immediately after giving effect to such exercise.

F4 · derivative.expiration_date: The Pre-Funded Warrants are exercisable immediately and will expire five years from the date of issuance. The Pre-Funded Warrants may not be exercised to the extent such exercise would cause the holder (together with its affiliates, any other persons acting as a group together with the holder or any of the holder's affiliates, and any other persons whose beneficial ownership of the Issuer's common stock would or could be aggregated with the holder's for purposes of Section 13(d) or Section 16 of the Securities Exchange Act of 1934, as amended) to beneficially own more than 19.99% of the Issuer's common stock outstanding immediately after giving effect to such exercise.

F2 · ownership.nature: These securities are held directly by Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

Read SEC document
June 27, 2022 Filed Jun 29, 2022 20:37 UTC Applied Therapeutics, Inc. APLT · Entity 67708 PurchaseCommon Stock 2,065,000 $1.00 $2,065,000.00
Disclosure

SEC source: 0001035443-22-000176 · wf-form4_165653503462000.xml · nonDerivative · entry 2

ALEXANDRIA REAL ESTATE EQUITIES, INC. · CIK 0001035443 · 10% owner

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

Alexandria Equities No. 7, LLC · CIK 0001776437 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By subsidiary

Disclosed balance after: 4,555,077

F1 · price: These securities were purchased at a combined public offering price of $1.00 per share of Common Stock and associated Common Stock Warrant (or, in the case of the Pre-Funded Warrants, $0.9999 per Pre-Funded Warrant and associated Common Stock Warrant).

F3 · ownership.nature: These securities are held directly by Alexandria Venture Investments, LLC ("AVI"), an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

Read SEC document
June 27, 2022 Filed Jun 29, 2022 20:37 UTC Applied Therapeutics, Inc. APLT · Entity 67708 PurchaseCommon Stock 1,435,000 $1.00 $1,435,000.00
Disclosure

SEC source: 0001035443-22-000176 · wf-form4_165653503462000.xml · nonDerivative · entry 1

ALEXANDRIA REAL ESTATE EQUITIES, INC. · CIK 0001035443 · 10% owner

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

Alexandria Equities No. 7, LLC · CIK 0001776437 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By subsidiary

Disclosed balance after: 2,378,977

F1 · price: These securities were purchased at a combined public offering price of $1.00 per share of Common Stock and associated Common Stock Warrant (or, in the case of the Pre-Funded Warrants, $0.9999 per Pre-Funded Warrant and associated Common Stock Warrant).

F2 · ownership.nature: These securities are held directly by Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

Read SEC document
February 23, 2022 Filed Feb 25, 2022 21:52 UTC Applied Therapeutics, Inc. APLT · Entity 67708 OtherCommon Stock 300,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001035443-22-000066 · wf-form4_164582594767959.xml · nonDerivative · entry 2

ALEXANDRIA REAL ESTATE EQUITIES, INC. · CIK 0001035443 · 10% owner

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

Alexandria Equities No. 7, LLC · CIK 0001776437 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By subsidiary

Disclosed balance after: 943,977

F1 · kind: These shares have been transferred from Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc. to Alexandria Venture Investments, LLC ("AVI"), an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

F1 · shares: These shares have been transferred from Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc. to Alexandria Venture Investments, LLC ("AVI"), an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

F1 · price: These shares have been transferred from Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc. to Alexandria Venture Investments, LLC ("AVI"), an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

F3 · ownership.nature: These shares are held directly by AE7.

Read SEC document
February 23, 2022 Filed Feb 25, 2022 21:52 UTC Applied Therapeutics, Inc. APLT · Entity 67708 OtherCommon Stock 300,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001035443-22-000066 · wf-form4_164582594767959.xml · nonDerivative · entry 1

ALEXANDRIA REAL ESTATE EQUITIES, INC. · CIK 0001035443 · 10% owner

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

Alexandria Equities No. 7, LLC · CIK 0001776437 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By subsidiary

Disclosed balance after: 2,490,077

F1 · kind: These shares have been transferred from Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc. to Alexandria Venture Investments, LLC ("AVI"), an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

F1 · shares: These shares have been transferred from Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc. to Alexandria Venture Investments, LLC ("AVI"), an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

F1 · price: These shares have been transferred from Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc. to Alexandria Venture Investments, LLC ("AVI"), an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

F2 · ownership.nature: These shares are held directly by AVI.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 22:17 UTC Applied Therapeutics, Inc. APLT · Entity 67708 OtherCommon Stock 43,478 Not disclosed Not disclosed
Disclosure

SEC source: 0001035443-21-000049 · wf-form4_161377301066645.xml · nonDerivative · entry 3

ALEXANDRIA REAL ESTATE EQUITIES, INC. · CIK 0001035443 · 10% owner

Alexandria Equities No. 7, LLC · CIK 0001776437 · 10% owner

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By subsidiary

Disclosed balance after: 2,190,077

F2 · shares: These shares have been transferred from AE7 to Alexandria Venture Investments, LLC ("AVI") upon acquisition, an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

F2 · price: These shares have been transferred from AE7 to Alexandria Venture Investments, LLC ("AVI") upon acquisition, an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

F3 · ownership.nature: These shares are held directly by AVI.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 22:17 UTC Applied Therapeutics, Inc. APLT · Entity 67708 OtherCommon Stock 43,478 Not disclosed Not disclosed
Disclosure

SEC source: 0001035443-21-000049 · wf-form4_161377301066645.xml · nonDerivative · entry 2

ALEXANDRIA REAL ESTATE EQUITIES, INC. · CIK 0001035443 · 10% owner

Alexandria Equities No. 7, LLC · CIK 0001776437 · 10% owner

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By subsidiary

Disclosed balance after: 1,243,977

F2 · shares: These shares have been transferred from AE7 to Alexandria Venture Investments, LLC ("AVI") upon acquisition, an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

F2 · price: These shares have been transferred from AE7 to Alexandria Venture Investments, LLC ("AVI") upon acquisition, an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

F1 · ownership.nature: These shares are held directly by Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 22:17 UTC Applied Therapeutics, Inc. APLT · Entity 67708 PurchaseCommon Stock 43,478 $23.00 $999,994.00
Disclosure

SEC source: 0001035443-21-000049 · wf-form4_161377301066645.xml · nonDerivative · entry 1

ALEXANDRIA REAL ESTATE EQUITIES, INC. · CIK 0001035443 · 10% owner

Alexandria Equities No. 7, LLC · CIK 0001776437 · 10% owner

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By subsidiary

Disclosed balance after: 1,287,455

F1 · ownership.nature: These shares are held directly by Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

Read SEC document
March 27, 2020 Filed Mar 31, 2020 20:38 UTC Applied Therapeutics, Inc. APLT · Entity 67708 OtherCommon Stock 975,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001035443-20-000079 · wf-form4_158568706670079.xml · nonDerivative · entry 2

ALEXANDRIA REAL ESTATE EQUITIES, INC. · CIK 0001035443 · 10% owner

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

Alexandria Equities No. 7, LLC · CIK 0001776437 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By subsidiary

Disclosed balance after: 1,243,977

F1 · kind: These shares have been transferred from Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc. to Alexandria Venture Investments, LLC ("AVI"), an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

F1 · shares: These shares have been transferred from Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc. to Alexandria Venture Investments, LLC ("AVI"), an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

F1 · price: These shares have been transferred from Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc. to Alexandria Venture Investments, LLC ("AVI"), an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

F3 · ownership.nature: These shares are held directly AE7.

Read SEC document
March 27, 2020 Filed Mar 31, 2020 20:38 UTC Applied Therapeutics, Inc. APLT · Entity 67708 OtherCommon Stock 975,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001035443-20-000079 · wf-form4_158568706670079.xml · nonDerivative · entry 1

ALEXANDRIA REAL ESTATE EQUITIES, INC. · CIK 0001035443 · 10% owner

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

Alexandria Equities No. 7, LLC · CIK 0001776437 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By subsidiary

Disclosed balance after: 2,146,599

F1 · kind: These shares have been transferred from Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc. to Alexandria Venture Investments, LLC ("AVI"), an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

F1 · shares: These shares have been transferred from Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc. to Alexandria Venture Investments, LLC ("AVI"), an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

F1 · price: These shares have been transferred from Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc. to Alexandria Venture Investments, LLC ("AVI"), an affiliate of AE7 and another wholly owned subsidiary of Alexandria Real Estate Equities, Inc.

F2 · ownership.nature: These shares are held directly by AVI.

Read SEC document
May 16, 2019 Filed May 21, 2019 00:59 UTC Applied Therapeutics, Inc. APLT · Entity 67708 ConversionSeries B Preferred Stock · Derivative 1,614,860 Not disclosed Not disclosed
Disclosure

SEC source: 0001035443-19-000142 · wf-form4_155840035159502.xml · derivative · entry 4

ALEXANDRIA REAL ESTATE EQUITIES INC · CIK 0001035443 · 10% owner

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

Alexandria Equities No. 7, LLC · CIK 0001776437 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By subsidiary

Disclosed balance after: 0

Underlying: Common Stock · 1,614,860 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Series A Preferred Stock and Series B Preferred Stock automatically converted into shares of Issuer's common stock, without payment of additional consideration, on a one-for-one basis, immediately upon the closing of the Issuer's initial public offering on May 16, 2019.

F4 · price: Not applicable

F1 · derivative.exercise_date: Each share of Series A Preferred Stock and Series B Preferred Stock automatically converted into shares of Issuer's common stock, without payment of additional consideration, on a one-for-one basis, immediately upon the closing of the Issuer's initial public offering on May 16, 2019.

F1 · derivative.expiration_date: Each share of Series A Preferred Stock and Series B Preferred Stock automatically converted into shares of Issuer's common stock, without payment of additional consideration, on a one-for-one basis, immediately upon the closing of the Issuer's initial public offering on May 16, 2019.

F2 · ownership.nature: These shares are held directly by Alexandria Venture Investments, LLC ("AVI"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc. ("ARE"). Of these shares, 1,243,977 shares are held by AVI as nominee for Alexandria Equities No. 7, LLC ("AE7"), another wholly owned subsidiary of Alexandria Real Estate Equities, Inc. AVI disclaims beneficial ownership of the shares held as nominee for AE7.

Read SEC document
May 16, 2019 Filed May 21, 2019 00:59 UTC Applied Therapeutics, Inc. APLT · Entity 67708 ConversionSeries A Preferred Stock · Derivative 800,716 Not disclosed Not disclosed
Disclosure

SEC source: 0001035443-19-000142 · wf-form4_155840035159502.xml · derivative · entry 3

ALEXANDRIA REAL ESTATE EQUITIES INC · CIK 0001035443 · 10% owner

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

Alexandria Equities No. 7, LLC · CIK 0001776437 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By subsidiary

Disclosed balance after: 0

Underlying: Common Stock · 800,716 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Series A Preferred Stock and Series B Preferred Stock automatically converted into shares of Issuer's common stock, without payment of additional consideration, on a one-for-one basis, immediately upon the closing of the Issuer's initial public offering on May 16, 2019.

F4 · price: Not applicable

F1 · derivative.exercise_date: Each share of Series A Preferred Stock and Series B Preferred Stock automatically converted into shares of Issuer's common stock, without payment of additional consideration, on a one-for-one basis, immediately upon the closing of the Issuer's initial public offering on May 16, 2019.

F1 · derivative.expiration_date: Each share of Series A Preferred Stock and Series B Preferred Stock automatically converted into shares of Issuer's common stock, without payment of additional consideration, on a one-for-one basis, immediately upon the closing of the Issuer's initial public offering on May 16, 2019.

F2 · ownership.nature: These shares are held directly by Alexandria Venture Investments, LLC ("AVI"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc. ("ARE"). Of these shares, 1,243,977 shares are held by AVI as nominee for Alexandria Equities No. 7, LLC ("AE7"), another wholly owned subsidiary of Alexandria Real Estate Equities, Inc. AVI disclaims beneficial ownership of the shares held as nominee for AE7.

Read SEC document
May 16, 2019 Filed May 21, 2019 00:59 UTC Applied Therapeutics, Inc. APLT · Entity 67708 PurchaseCommon Stock 975,000 $10.00 $9,750,000.00
Disclosure

SEC source: 0001035443-19-000142 · wf-form4_155840035159502.xml · nonDerivative · entry 2

ALEXANDRIA REAL ESTATE EQUITIES INC · CIK 0001035443 · 10% owner

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

Alexandria Equities No. 7, LLC · CIK 0001776437 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By subsidiary

Disclosed balance after: 975,000

F3 · ownership.nature: These shares are held directly by AE7. Does not include 1,243,977 shares held directly by AVI as nominee for AE7, as described in footnote (2), which shares may be deemed to be beneficially owned by AE7.

Read SEC document
May 16, 2019 Filed May 21, 2019 00:59 UTC Applied Therapeutics, Inc. APLT · Entity 67708 ConversionCommon Stock 2,415,576 Not disclosed Not disclosed
Disclosure

SEC source: 0001035443-19-000142 · wf-form4_155840035159502.xml · nonDerivative · entry 1

ALEXANDRIA REAL ESTATE EQUITIES INC · CIK 0001035443 · 10% owner

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

Alexandria Equities No. 7, LLC · CIK 0001776437 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By subsidiary

Disclosed balance after: 2,415,576

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each share of Series A Preferred Stock and Series B Preferred Stock automatically converted into shares of Issuer's common stock, without payment of additional consideration, on a one-for-one basis, immediately upon the closing of the Issuer's initial public offering on May 16, 2019.

F2 · ownership.nature: These shares are held directly by Alexandria Venture Investments, LLC ("AVI"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc. ("ARE"). Of these shares, 1,243,977 shares are held by AVI as nominee for Alexandria Equities No. 7, LLC ("AE7"), another wholly owned subsidiary of Alexandria Real Estate Equities, Inc. AVI disclaims beneficial ownership of the shares held as nominee for AE7.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.