SEC Form 4 · accession 0001127602-18-033265
Apellis Pharmaceuticals, Inc. · APLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Federico Grossi
Officer — See Remarks
Period of report
Nov 14, 2018
Accepted (ET)
Nov 15, 2018 · 8:45 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 | 6,250 | $3.20 | A | 22,456 | 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 | $3.20 | Nov 14, 2018 | M | 6,250 | D | — | Dec 11, 2024 | Common Stock | 6,250 | 55,573 | D |
Explanation of responses
- F1This option was granted on December 12, 2014 and has vested as to 25% of the shares underlying the options on the first anniversary of the grant, with the remaining 75% of the shares underlying the options vesting in equal monthly installments thereafter through the fourth anniversary of the grant, subject to continued service.