| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | APLS | Common Stock | Options Exercise | $188K | +50K | +15.94% | $3.76* | 364K | Mar 1, 2024 | Direct | F5 |
| transaction | APLS | Common Stock | Options Exercise | $862K | +200K | +55% | $4.31* | 564K | Mar 1, 2024 | Direct | F6 |
| transaction | APLS | Common Stock | Sale | -$1.8M | -28.9K | -5.12% | $62.21 | 535K | Mar 1, 2024 | Direct | F7 |
| transaction | APLS | Common Stock | Sale | -$2.63M | -41.7K | -7.8% | $62.96 | 493K | Mar 1, 2024 | Direct | F8 |
| transaction | APLS | Common Stock | Sale | -$4.02M | -62.5K | -12.68% | $64.26 | 431K | Mar 1, 2024 | Direct | F9 |
| transaction | APLS | Common Stock | Sale | -$7.56M | -117K | -27.06% | $64.92 | 314K | Mar 1, 2024 | Direct | F10 |
| transaction | APLS | Common Stock | Sale | -$27.1K | -413 | -0.13% | $65.68 | 314K | Mar 1, 2024 | Direct | F11 |
| holding | APLS | Common Stock | 533K | Mar 1, 2024 | Indirect Owner (The Cedric Francois Irrevocable Trust of 2023 - 2) | F1 | |||||
| holding | APLS | Common Stock | 654K | Mar 1, 2024 | Indirect Owner (The Cedric Francois Irrevocable Trust of 2023) | F2 | |||||
| holding | APLS | Common Stock | 300K | Mar 1, 2024 | Indirect Owner (The Francois Grossi Trust) | F3 | |||||
| holding | APLS | Common Stock | 234K | Mar 1, 2024 | Indirect Owner (The Francois-DuBois Educational Trust) | F4 |
| 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 | -50K | -84.98% | $0.00 | 8.84K | Mar 1, 2024 | Common Stock | 50K | $3.76 | Direct | F5, F12 |
| transaction | APLS | Stock Option (Right to Buy) | Options Exercise | $0 | -200K | -53.26% | $0.00 | 176K | Mar 1, 2024 | Common Stock | 200K | $4.31 | Direct | F6, F13 |
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).
| Id | Content |
|---|---|
| F1 | The securities are held by The Cedric Francois Irrevocable Trust of 2023 - 2. William V. A. Zorn is the trustee of The Cedric Francois Irrevocable Trust of 2023 - 2. The reporting person disclaims beneficial ownership over the shares held by The Cedric Francois Irrevocable Trust of 2023 - 2 except to the extent of his pecuniary interest therein. |
| F2 | The securities are held by The Cedric Francois Irrevocable Trust of 2023. William V. A. Zorn is the trustee of The Cedric Francois Irrevocable Trust of 2023. The reporting person disclaims beneficial ownership over the shares held by The Cedric Francois Irrevocable Trust of 2023 except to the extent of his pecuniary interest therein. |
| F3 | 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. |
| F4 | 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. |
| F5 | This is a scheduled exercise & sale from 10b5-1 trading plan dated 11/30/2023. |
| F6 | This is a scheduled exercise & sale from 10b5-1 trading plan dated 11/30/2023. |
| F7 | This transaction was executed in multiple trades at prices ranging from $61.615 - $62.605. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
| F8 | This transaction was executed in multiple trades at prices ranging from $62.61 - $63.51. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
| F9 | This transaction was executed in multiple trades at prices ranging from $63.665 - $64.645. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
| F10 | This transaction was executed in multiple trades at prices ranging from $64.6575 - $65.59 The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
| F11 | This transaction was executed in multiple trades at prices ranging from $65.67 - $65.69 The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
| F12 | This option was granted on February 8, 2016 and fully vested. |
| F13 | This option was granted on August 21, 2017 and is fully vested. |