SEC Form 4 · accession 0000899243-17-026036

Apellis Pharmaceuticals, Inc. · APLS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

10% Owner

Period of report

Nov 13, 2017

Accepted (ET)

Nov 13, 2017 · 4:29 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 Stock^F1,F2	Nov 13, 2017	C	2,292,062	—	A	2,292,062	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series C Preferred Stock^F2,F1	—	Nov 13, 2017	C	4,000,000	D	—	—	Common Stock	1,875,293	0	I
Series D Preferred Stock^F2,F1	—	Nov 13, 2017	C	888,969	D	—	—	Common Stock	416,769	0	I

F1The Series C and Series D 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 C and Series D 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.
F2The shares reported herein are held of record by AJU Life Science Overseas Expansion Platform Fund ("AJU Platform Fund"), which is managed by AJU IB Investment Co., Ltd. Ji-won Kim, Kwang-sun Yang and Yong-jin Choi, the directors of AJU Platform Fund, share voting and dispositive control over the shares held by such fund.