SEC Form 4 · accession 0001127602-18-033263
Apellis Pharmaceuticals, Inc. · APLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven Axon
Officer — Chief Business Officer
Period of report
Nov 14, 2018
Accepted (ET)
Nov 15, 2018 · 8:40 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 | Nov 14, 2018 | M | 11,500 | $2.59 | A | 50,110 | D |
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)F1,F2 | $2.59 | Nov 14, 2018 | M | 11,500 | D | — | May 17, 2027 | Common Stock | 11,500 | 348,389 | D |
Explanation of responses
- F1This option was granted on May 18, 2017 and has vested as to 25% of the shares underlying the options on January 1, 2018, with the remaining 75% of the shares underlying the options vesting in equal monthly installments thereafter through January 1, 2021, subject to continued service.
- F2This option was granted on May 18, 2017 and will vest as to 25% of the shares underlying the options on January 1, 2018, with the remaining 75% of the shares underlying the options vesting in equal monthly installments thereafter through January 1, 2021, subject to continued service.