Filing Details
- Accession Number:
- 0001127602-20-011263
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-03-18 16:51:27
- Reporting Period:
- 2020-03-16
- Accepted Time:
- 2020-03-18 16:51:27
- 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 | 2020-03-16 | 30,637 | $2.14 | 1,088,704 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-03-16 | 2,108 | $20.73 | 1,086,596 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-03-16 | 2,192 | $21.57 | 1,084,404 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-03-16 | 700 | $22.29 | 1,083,704 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-03-16 | 12,060 | $20.69 | 1,071,644 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-03-16 | 15,065 | $21.58 | 1,056,579 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-03-16 | 3,212 | $22.28 | 1,053,367 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-03-16 | 300 | $23.86 | 1,053,067 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-03-17 | 30,637 | $2.14 | 1,083,704 | No | 4 | M | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | 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 | 2020-03-16 | 30,637 | $0.00 | 30,637 | $2.14 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-03-17 | 30,637 | $0.00 | 30,637 | $2.14 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 30,637 | 2020-05-12 | No | 4 | M | Direct | |
| 0 | 2020-05-12 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 234,411 | Indirect | See Footnote |
Footnotes
- This is a scheduled exercise from 10B5-1 trading plan.
- This is a scheduled sale from 10B5-1 trading plan.
- Average Sale Price: Min. $20.16 Max. $21.12
- Average Sale Price: Min. $21.16 Max. $22.09
- Average Sale Price: Min. $22.19 Max. $22.45
- Average Sale Price: Min. $20.16 Max. $21.15
- Average Sale Price: Min. $21.16 Max. $22.11
- Average Sale Price: Min. $22.18 Max. $22.46
- The securities are held by The Francois-DuBois Educational Trust (the "Trust"), for which Fiduciary Trust Company of New England 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 May 12, 2010 and is fully vested.
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