Current Report Filing (8-k)
16 Giugno 2023 - 10:41PM
Edgar (US Regulatory)
0001697532
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0001697532
2023-06-14
2023-06-14
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iso4217:USD
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT
REPORT
Pursuant
to Section 13 or 15(d)
of
the Securities Exchange Act of 1934
Date of Report (Date of
earliest event reported): June 14, 2023
APPLIED THERAPEUTICS, INC.
(Exact name of registrant as specified in its charter)
Delaware |
|
001-38898 |
|
81-3405262 |
(State or Other Jurisdiction of
Incorporation) |
|
(Commission File Number) |
|
(I.R.S. Employer Identification No.) |
545 Fifth Avenue, Suite 1400 New York, NY 10017 |
|
10017 |
(Address of Principal Executive Offices) |
|
(Zip Code) |
Registrant’s telephone number,
including area code: (212) 220-9226
Check the appropriate box below if the Form 8-K
filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
¨ | Written communications pursuant to Rule 425 under the Securities
Act (17 CFR 230.425) |
¨ | Soliciting material pursuant to Rule 14a-12 under the Exchange
Act (17 CFR 240.14a-12) |
¨ | Pre-commencement communications pursuant to Rule 14d-2(b) under
the Exchange Act (17 CFR 240.14d-2(b)) |
¨ | Pre-commencement communications pursuant to Rule 13e-4(c) under
the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of
the Act:
Title of each class |
|
Trading Symbol(s) |
|
Name of each exchange on which registered |
Common Stock |
|
APLT |
|
The Nasdaq Global Market |
Indicate by check mark whether the registrant
is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or
Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company x
If an emerging growth company, indicate by check
mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting
standards provided pursuant to Section 13(a) of the Exchange Act.
Item
5.02 Departure of Directors or Certain Officers; Appointment of Certain Officers; Compensatory Arrangements of Certain
Officers.
On
June 14, 2023, Steven Ortega notified Applied Therapeutics, Inc. (the “Company”) that he will resign from his position
as the Company’s Chief Accounting Officer and Interim Principal Financial Officer effective as of June 30, 2023, to pursue
another professional opportunity. On June 16, 2023, the Company appointed Catherine
Thorpe as the interim Principal Financial Officer and Chief Accounting Officer, effective immediately, in light of Mr. Ortega’s
anticipated departure and Mr. Ortega ceased to serve in such roles.
On June 16, 2023, the Company entered into
an engagement letter (the “Engagement Letter”) with CFGI to assist the Company with, among other things, financial, accounting
and tax consulting services as required by the Company. Ms. Thorpe, an employee of CFGI, will be responsible for the Company’s
accounting and finance functions and will serve as the Company’s Interim Principal Financial Officer and Chief Accounting Officer.
The Engagement Letter may be terminated by the Company or CFGI at any time, for any reason, with 30 days prior written notice to the other
party. Ms. Thorpe will not receive compensation from the Company. Ms. Thorpe will continue to receive compensation from CFGI
and the Company will compensate CFGI for Ms. Thorpe’s services at an agreed upon hourly rate. The Company expects that the
fees paid to CFGI pursuant to the Engagement Letter will be similar to the compensation paid to Mr. Ortega.
Ms. Thorpe, age 60, served in the role
of Managing Director at CFGI from April 2018 to January 2020 and has been the CFGI Stamford Office Managing Partner since
January 2020. She has no familial relationships with any executive officer or director of the Company. Other than the
Company’s engagement of CFGI there have been no transactions in which the Company has participated and in which
Ms. Thorpe had a direct or indirect material interest that would be required to be disclosed under Item 404(a) of
Regulation S-K. In connection with her appointment, the Company will enter into a customary indemnification agreement with
Ms. Thorpe.
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934,
the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
|
APPLIED THERAPEUTICS, INC. |
|
|
|
Dated: June 16, 2023 |
By: |
/s/ Shoshana Shendelman |
|
Name: |
Shoshana Shendelman |
|
Title: |
President and Chief Executive Officer |
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