SEC Form 4 · accession 0000899243-18-014491
Apellis Pharmaceuticals, Inc. · APLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David O. Watson
Officer — General Counsel
Period of report
May 29, 2018
Accepted (ET)
May 30, 2018 · 8:31 pm EDT
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 | May 29, 2018 | M | 624 | $2.67 | A | 624 | D | |
| Common StockF1 | May 29, 2018 | G | 624 | $0.00 | D | 0 | D | |
| Common StockF2 | holding | — | — | — | 10,000 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F3 | $2.67 | May 29, 2018 | M | 624 | D | — | Dec 31, 2023 | Common Stock | 624 | 60,323 | D |
Explanation of responses
- F1Represents transfer of shares to The Watson Education Trust (the "Trust").
- F2The securities are held by the Trust, for which the reporting person serves as trustee. The reporting person disclaims beneficial ownership over the shares held by the Trust except to the extent of his pecuniary interest therein.
- F3This option was granted on January 1, 2014 and has fully vested.