| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | APLS | Common Stock | Other | $0 | -12,500 | -1.3% | $0.000000 | 943,440 | 25 Apr 2022 | Direct | F1 |
| transaction | APLS | Common Stock | Options Exercise | $75,294 | +28,200 | +3% | $2.67* | 971,640 | 19 Dec 2022 | Direct | F2 |
| transaction | APLS | Common Stock | Options Exercise | $56,400 | +15,000 | +1.5% | $3.76* | 986,640 | 19 Dec 2022 | Direct | |
| transaction | APLS | Common Stock | Options Exercise | $99,986 | +6,688 | +0.68% | $14.95 | 993,328 | 19 Dec 2022 | Direct | |
| transaction | APLS | Common Stock | Sale | $194,931 | -3,751 | -0.38% | $51.97 | 989,577 | 19 Dec 2022 | Direct | F2, F3 |
| transaction | APLS | Common Stock | Sale | $1,273,052 | -24,449 | -2.5% | $52.07 | 965,128 | 19 Dec 2022 | Direct | F2, F4 |
| holding | APLS | Common Stock | 300,000 | 25 Apr 2022 | The Francois Grossi Trust | F5 | |||||
| holding | APLS | Common Stock | 234,411 | 25 Apr 2022 | The Francois-DuBois Educational Trust | F6 |
| 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 | -28,200 | -5.9% | $0.000000 | 450,000 | 19 Dec 2022 | Common Stock | 28,200 | $2.67 | Direct | F2, F7 |
| transaction | APLS | Stock Option (Right to Buy) | Options Exercise | $0 | -15,000 | -5.5% | $0.000000 | 258,840 | 19 Dec 2022 | Common Stock | 15,000 | $3.76 | Direct | F8 |
| transaction | APLS | Stock Option (Right to Buy) | Options Exercise | $0 | -6,688 | -2.4% | $0.000000 | 273,312 | 19 Dec 2022 | Common Stock | 6,688 | $14.95 | Direct | F9 |
| Id | Content |
|---|---|
| F1 | This represents the cancellation of a PSU awards granted on 01/28/2021 that was originally reported in table I upon grant. The performance metrics were not met. |
| F2 | This is a scheduled exercise & sale from 10b5-1 plan adopted September 13, 2022 . |
| F3 | Sale price within range of $1. Min. $50.695 - Max. $51.680 |
| F4 | Sale price within range of $1. Min. $51.695 - Max. $52.400 |
| F5 | The securities are held by The Francois Grossi Trust, for which Juliana Grossi, the spouse of the reporting person, serves as trustee. The reporting person disclaims beneficial ownership over the shares held by the Francois Grossi Trust except to the extent of his pecuniary interest therein. |
| F6 | The securities are held by The Francois-DuBois Educational Trust, for which the Fiduciary Trust Company of New England serves as trustee. The reporting person disclaims beneficial ownership over the shares held by The Francois-DuBois Educational Trust except to the extent of his pecuniary interest therein. |
| F7 | This option was granted on December 5, 2013 and fully vested. |
| F8 | This option was granted on February 8, 2016 and fully vested. |
| F9 | This option was granted on February 16, 2018 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. |