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

Role
Director
Signature
/s/ David Watson, attorney-in-fact for Sinclair Dunlop
Issuer symbol
APLS
Transactions as of
10 Sep 2021
Net transactions value
+$96,516
Form type
4
Filing time
13 Sep 2021, 16:10:13 UTC
Previous filing
02 Jun 2021
Next filing
04 Jan 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction APLS Common Stock Options Exercise $96,516 +6,894 +11% $14.00 66,894 10 Sep 2021 Direct
holding APLS Common Stock 300,679 10 Sep 2021 Epidarex F1
holding APLS Common Stock 31,855 10 Sep 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 -6,894 -11% $0.000000 55,000 10 Sep 2021 Common Stock 6,894 $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.