Filing Details
- Accession Number:
- 0001127602-23-030172
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-12-20 16:18:12
- Reporting Period:
- 2023-12-19
- Accepted Time:
- 2023-12-20 16:18:12
- 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 100 Fifth Avenue, 3Rd Floor Waltham MA 02451 | 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 | 2023-12-19 | 7,905 | $13.85 | 93,658 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-12-19 | 1,605 | $57.00 | 92,053 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-12-19 | 2,300 | $57.38 | 89,753 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | 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 | 2023-12-19 | 7,905 | $0.00 | 7,905 | $13.85 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 3,762 | 2029-02-07 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 3,333 | Indirect | Indirect Owner (Custodial Account for Son) |
| Common Stock | 80,705 | Indirect | Indirect Owner (The David O. Watson Irrevocable Trust of 2023) |
| Common Stock | 6,667 | Indirect | Indirect Owner (The Watson Education Trust) |
Footnotes
- This represents a custodial account held by the reporting person for the sole benefit of his minor son.
- The securities are held by The David O. Watson Irrevocable Trust of 2023. William Zorn is the trustee of The David O. Watson Irrevocable Trust of 2023. The reporting person disclaims beneficial ownership over the shares held by The David O. Watson Irrevocable Trust of 2023 except to the extent of his pecuniary interest therein.
- 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 transaction was executed in multiple trades at prices ranging from $56.290 - $57.280. 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 transaction was executed in multiple trades at prices ranging from $57.300 - $57.830. 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 option was granted on February 8, 2019and is fully vested.
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