Filing Details
- Accession Number:
- 0000899243-18-024601
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-09-17 17:40:44
- Reporting Period:
- 2018-09-14
- Accepted Time:
- 2018-09-17 17:40:44
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1492422 | Apellis Pharmaceuticals Inc. | APLS | Pharmaceutical Preparations (2834) | 271537290 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1657719 | O. David Watson | C/O Apellis Pharmaceuticals, Inc 6400 Westwind Way, Suite A Crestwood KY 40014 | General Counsel | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2018-09-14 | 32,818 | $2.67 | 32,818 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-09-14 | 15,776 | $18.78 | 17,042 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2018-09-14 | 32,818 | $0.00 | 32,818 | $2.67 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 27,505 | 2023-12-31 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 10,000 | Indirect | See Footnote |
Footnotes
- The price reported is a weighted average. The shares were sold in multiple transactions at prices per share ranging from $18.50 to $19.025, inclusive. The reporting person undertakes to provide to Apellis Pharmaceuticals, Inc. ("Apellis"), any security holder of Apellis, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The securities are held by The Watson Education Trust (the "Trust"), for which the reporting person serves as trustee. The reporting person disclaims beneficial ownership over the shares held by the Trust except to the extent of his pecuniary interest therein.
- This option was granted on January 1, 2014 and has fully vested.
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