SEC Form 4 · accession 0000899243-17-026037

Apellis Pharmaceuticals, Inc. · APLS

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

Reporting owner

Director

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	400,679	—	A	400,679	I	See Footnote
Common Stock^F3	holding	—	—		—	186,371	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series B Preferred Stock^F2,F1	—	Nov 13, 2017	C	213,100	D	—	—	Common Stock	454,444	I
Series C Preferred Stock^F2,F1	—	Nov 13, 2017	C	150,023	D	—	—	Common Stock	320,000	I
Series D Preferred Stock^F2,F1	—	Nov 13, 2017	C	31,478	D	—	—	Common Stock	67,144	I
Series E Preferred Stock^F2,F1	—	Nov 13, 2017	C	6,078	D	—	—	Common Stock	12,965	I

F1The Series B, Series C, Series D and Series E 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 D and Series E 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 securities are held by Epidarex Capital I, LP ("Epidarex") and the reporting person, a general partner of Epidarex, may be deemed to have voting and dispositive power over the shares held by Epidarex. The reporting person disclaims beneficial ownership over the shares held by Epidarex except to the extent of his pecuniary interest therein.
F3The securities are held by MASA Life Science Ventures, LP ("MASA") and the reporting person, a managing partner of MASA, may be deemed to have voting and dispositive power over the shares held by MASA. The reporting person disclaims beneficial ownership over the shares held by MASA except to the extent of his pecuniary interest therein.