Sinclair Dunlop - Sep 10, 2021 Form 4 Insider Report for Apellis Pharmaceuticals, Inc. (APLS)

Role
Director
Signature
/s/ David Watson, attorney-in-fact for Sinclair Dunlop
Stock symbol
APLS
Transactions as of
Sep 10, 2021
Transactions value $
$96,516
Form type
4
Date filed
9/13/2021, 04:10 PM
Previous filing
Jun 2, 2021
Next filing
Jan 4, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction APLS Common Stock Options Exercise $96.5K +6.89K +11.49% $14.00 66.9K Sep 10, 2021 Direct
holding APLS Common Stock 301K Sep 10, 2021 Epidarex F1
holding APLS Common Stock 31.9K Sep 10, 2021 Masa F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction APLS Stock Option (Right to Buy) Options Exercise $0 -6.89K -11.14% $0.00 55K Sep 10, 2021 Common Stock 6.89K $14.00 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The securities are held by Epidarex and the reporting person, a general partner of Epidarex, may be deemed to have voting and dispositive power over the shares held by Epidarex. The reporting person disclaims beneficial ownership over the shares held by Epidarex except to the extent of his pecuniary interest therein.
F2 The securities are held by MASA and the reporting person, a managing partner of MASA, may be deemed to have voting and dispositive power over the shares held by MASA. The reporting person disclaims beneficial ownership over the shares held by MASA except to the extent of his pecuniary interest therein.
F3 This option was granted on November 8, 2017 and is fully vested.