SEC Form 4 · accession 0000899243-17-026031
Apellis Pharmaceuticals, Inc. · APLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael E Gellert
10% Owner
Period of report
Nov 13, 2017
Accepted (ET)
Nov 13, 2017 · 4:25 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001492422
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 13, 2017 | C | 798,068 | — | A | 943,989 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Preferred StockF1 | — | Nov 13, 2017 | C | 600,000 | D | — | — | Common Stock | 281,293 | 0 | D |
| Series B Preferred StockF1 | — | Nov 13, 2017 | C | 545,454 | D | — | — | Common Stock | 255,721 | 0 | D |
| Series C Preferred StockF1 | — | Nov 13, 2017 | C | 556,830 | D | — | — | Common Stock | 261,054 | 0 | D |
Explanation of responses
- F1The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 2.133-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.