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Signature
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/s/s David Watson, attorney-in-fact for Timothy Sullivan
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Stock symbol
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APLS
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Transactions as of
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Nov 30, 2023
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Transactions value $
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-$632,880
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Form type
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4
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Date filed
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12/1/2023, 04:11 PM
Transactions Table
| Type |
Sym |
Class |
Transaction |
Value $ |
Shares |
Change % |
* Price $ |
Shares After |
Date |
Ownership |
Footnotes |
| transaction |
APLS |
Common Stock |
Options Exercise |
$142K |
+14.2K |
+18.22% |
$10.03* |
91.9K |
Nov 30, 2023 |
Direct |
F2 |
| transaction |
APLS |
Common Stock |
Sale |
-$758K |
-13.9K |
-15.08% |
$54.73 |
78K |
Nov 30, 2023 |
Direct |
F2 |
| transaction |
APLS |
Common Stock |
Sale |
-$16.4K |
-300 |
-0.38% |
$54.79 |
77.7K |
Nov 30, 2023 |
Direct |
F2, F3 |
| holding |
APLS |
Common Stock |
|
|
|
|
|
56.2K |
Nov 30, 2023 |
The Timothy E Sullivan Irrevocable Trust of 2023 |
F1 |
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 |
-14.2K |
-5.02% |
$0.00 |
268K |
Nov 30, 2023 |
Common Stock |
14.2K |
$10.03 |
Direct |
F2, F4 |
* An asterisk sign (*) next to the price indicates that the price is likely invalid.
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
Explanation of Responses: