Filing Details
- Accession Number:
- 0001127602-20-031348
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-12-15 16:03:30
- Reporting Period:
- 2020-12-11
- Accepted Time:
- 2020-12-15 16:03:30
- 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 | 2020-12-11 | 9,935 | $13.85 | 53,339 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-12-11 | 9,935 | $50.00 | 43,404 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-12-14 | 8,398 | $13.85 | 51,802 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-12-14 | 2,709 | $50.61 | 49,093 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-12-14 | 2,526 | $51.32 | 46,567 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-12-14 | 1,163 | $52.73 | 45,404 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-12-14 | 900 | $53.86 | 44,504 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-12-14 | 900 | $55.00 | 43,604 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-12-14 | 200 | $55.91 | 43,404 | No | 4 | S | 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 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | 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 | 2020-12-11 | 9,935 | $0.00 | 9,935 | $13.85 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-12-14 | 8,398 | $0.00 | 8,398 | $13.85 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 30,065 | 2029-02-07 | No | 4 | M | Direct | |
| 21,667 | 2029-02-07 | 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 total includes 482 shares from 4/30/2020 ESPP Purchase.
- Average Sale Price: Min. $50.00, Max. $50.99
- Average Sale Price: Min. $51.00, Max $51.51
- Average Sale Price: Min. $52.36, Max. $53.26
- Average Sale Price: Min. $53.37, Max. $54.36
- Average Sale Price: Min. $54.50, Max. $55.41
- Average Sale Price: Min. $55.64, Max. $56.17
- 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 February 8, 2019 and will vest as to 25% of the shares underlying the options on the first anniversary of the grant, with the remaining 75% of the shares underlying the options vesting in equal monthly installments thereafter through the fourth anniversary of the grant, subject to continued service.
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