Filing Details

Accession Number:
0000899243-17-026034
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-11-13 16:27:22
Reporting Period:
2017-11-13
Accepted Time:
2017-11-13 16:27:22
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
1634632 L.p. Ii Fund Strategic Global Venbio 1700 Owens Street, Suite 595
San Francisco CA 94158
No No Yes 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 2017-11-13 3,451,790 $0.00 3,451,790 No 4 C Direct
Common Stock Acquisiton 2017-11-13 127,515 $14.00 3,579,305 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Direct
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series D Preferred Stock Disposition 2017-11-13 6,714,413 $0.00 3,147,872 $0.00
Common Stock Series E Preferred Stock Disposition 2017-11-13 648,256 $0.00 303,917 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Direct
0 No 4 C Direct
Footnotes
  1. The Series D and Series E Preferred Stock converted into Common Stock on a 2.133-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D and Series E Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
  2. Robert Adelman and Corey Goodman, the managing partners of venBio Global Strategic Fund II LP ("venBio"), share voting and dispositive control over the shares held by venBio.