Filing Details
- Accession Number:
- 0001127602-23-011206
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-03-23 16:55:48
- Reporting Period:
- 2023-03-21
- Accepted Time:
- 2023-03-23 16:55:48
- 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 |
|---|---|---|---|---|---|---|---|
| 1658080 | Cedric Francois | C/O Apellis Pharmaceuticals, Inc. 100 Fifth Avenue, 3Rd Floor Waltham MA 02451 | Chief Executive Officer | Yes | 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 | 2023-03-21 | 30,000 | $2.67 | 1,174,591 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-03-21 | 30,000 | $62.74 | 1,144,591 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2023-03-22 | 20,000 | $2.67 | 1,164,591 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2023-03-22 | 100,000 | $3.76 | 1,264,591 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2023-03-22 | 7,221 | $13.85 | 1,271,812 | No | 4 | M | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | 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 | 2023-03-21 | 30,000 | $0.00 | 30,000 | $2.67 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2023-03-22 | 20,000 | $0.00 | 20,000 | $2.67 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2023-03-22 | 100,000 | $0.00 | 100,000 | $3.76 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2023-03-22 | 7,221 | $0.00 | 7,221 | $13.85 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 420,000 | 2023-12-05 | No | 4 | M | Direct | |
| 400,000 | 2023-12-05 | No | 4 | M | Direct | |
| 58,840 | 2026-02-06 | No | 4 | M | Direct | |
| 273,779 | 2029-02-07 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 300,000 | Indirect | Indirect Owner (The Francois Grossi Trust) |
| Common Stock | 234,411 | Indirect | Indirect Owner (The Francois-DuBois Educational Trust) |
Footnotes
- This is a scheduled exercise & sale from 10b5-1 trading plan.
- This transaction was executed in multiple trades at prices ranging from $62.02 to $63.70. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- This is a scheduled exercise from 10B5-1 trading plan.
- The securities are held by The Francois Grossi Trust, for which Juliana Grossi, the spouse of the reporting person, serves as trustee. The reporting person disclaims beneficial ownership over the shares held by the Francois Grossi Trust except to the extent of his pecuniary interest therein.
- The securities are held by The Francois-DuBois Educational Trust, for which the Fiduciary Trust Company of New England serves as trustee. The reporting person disclaims beneficial ownership over the shares held by The Francois-DuBois Educational Trust except to the extent of his pecuniary interest therein.
- This option was granted on December 5, 2013 and fully vested.
- This option was granted on February 8, 2016 and fully vested.
- This option was granted on February 8, 2019 and fully vested.
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