0001035443-23-000283.txt : 20231016 0001035443-23-000283.hdr.sgml : 20231016 20231016191708 ACCESSION NUMBER: 0001035443-23-000283 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231012 FILED AS OF DATE: 20231016 DATE AS OF CHANGE: 20231016 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ALEXANDRIA REAL ESTATE EQUITIES, INC. CENTRAL INDEX KEY: 0001035443 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38898 FILM NUMBER: 231328236 BUSINESS ADDRESS: STREET 1: 26 NORTH EUCLID AVENUE CITY: PASADENA STATE: CA ZIP: 91101 BUSINESS PHONE: 6265780777 MAIL ADDRESS: STREET 1: 26 NORTH EUCLID AVENUE CITY: PASADENA STATE: CA ZIP: 91101 FORMER NAME: FORMER CONFORMED NAME: ALEXANDRIA REAL ESTATE EQUITIES INC DATE OF NAME CHANGE: 19970311 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Alexandria Equities No. 7, LLC CENTRAL INDEX KEY: 0001776437 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38898 FILM NUMBER: 231328234 BUSINESS ADDRESS: STREET 1: 26 NORTH EUCLID AVENUE CITY: PASADENA STATE: CA ZIP: 91101 BUSINESS PHONE: 626-578-0777 MAIL ADDRESS: STREET 1: 26 NORTH EUCLID AVENUE CITY: PASADENA STATE: CA ZIP: 91101 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Alexandria Venture Investments, LLC CENTRAL INDEX KEY: 0001722024 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38898 FILM NUMBER: 231328235 BUSINESS ADDRESS: STREET 1: 26 NORTH EUCLID AVENUE CITY: PASADENA STATE: CA ZIP: 91101 BUSINESS PHONE: 626-578-0777 MAIL ADDRESS: STREET 1: 26 NORTH EUCLID AVENUE CITY: PASADENA STATE: CA ZIP: 91101 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Applied Therapeutics Inc. CENTRAL INDEX KEY: 0001697532 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 545 5TH AVENUE, SUITE 1400 CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-220-9319 MAIL ADDRESS: STREET 1: 545 5TH AVENUE, SUITE 1400 CITY: NEW YORK STATE: NY ZIP: 10017 4 1 wk-form4_1697498217.xml FORM 4 X0508 4 2023-10-12 0 0001697532 Applied Therapeutics Inc. APLT 0001035443 ALEXANDRIA REAL ESTATE EQUITIES, INC. 26 NORTH EUCLID AVENUE PASADENA CA 91101 0 0 1 0 0001722024 Alexandria Venture Investments, LLC 26 NORTH EUCLID AVENUE PASADENA CA 91101 0 0 1 0 0001776437 Alexandria Equities No. 7, LLC 26 NORTH EUCLID AVENUE PASADENA CA 91101 0 0 1 0 0 Common Stock 2023-10-12 4 J 0 1600000 A 6155077 I By subsidiary Common Stock 2023-10-12 4 J 0 1600000 D 778977 I By subsidiary Pre-Funded Warrant 0.0001 2023-10-12 4 J 0 615000 A Common Stock 615000 1500000 I By subidiary Pre-Funded Warrant 0.0001 2023-10-12 4 J 0 615000 D Common Stock 0 0 I By subsidiary 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. 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. These securities are held directly by Alexandria Equities No. 7, LLC ("AE7"), a wholly owned subsidiary of Alexandria Real Estate Equities, Inc. 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. ALEXANDRIA EQUITIES NO. 7, LLC By: ARE-Special Services, LLC, managing member By: ALEXANDRIA REAL ESTATE EQUITIES, L.P., managing member By: ARE-QRS CORP., general partner By: /s/ Marc E. Binda, Chief Financial Officer and Treasurer 2023-10-13 By: /s/ Marc E. Binda, Chief Financial Officer and Treasurer ALEXANDRIA EQUITIES NO. 7, LLC By: ARE-Special Services, LLC, managing member 2023-10-13 By: ALEXANDRIA REAL ESTATE EQUITIES, L.P., managing member By: ARE-QRS CORP., general partner By: /s/ Marc E. Binda, Chief Financial Officer and Treasurer 2023-10-13