Statement of Changes in Beneficial Ownership (4)
September 17 2019 - 7:29PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Francois Cedric |
2. Issuer Name and Ticker or Trading Symbol
Apellis Pharmaceuticals, Inc.
[
APLS
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Executive Officer
|
(Last)
(First)
(Middle)
C/O APELLIS PHARMACEUTICALS, INC, 6400 WESTWIND WAY, SUITE A |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/16/2019
|
(Street)
CRESTWOOD, KY 40014
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
9/16/2019
|
|
S(1)
|
|
4740
|
D
|
$26.558 (2)
|
1022053
|
D
|
|
Common Stock
|
9/16/2019
|
|
S(1)
|
|
260
|
D
|
$27.17 (3)
|
1021793
|
D
|
|
Common Stock
|
|
|
|
|
|
|
|
234411
|
I
|
See Footnote (4)
|
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code (Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)
|
8. Price of Derivative Security (Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Explanation of Responses:
|
(1)
|
Scheduled sale from 10B5-1 trading plan.
|
(2)
|
Average Sale Price: Min. $26.12 Max. $27.10
|
(3)
|
Average Sale Price: Min. $27.16 Max. $27.19
|
(4)
|
The securities are held by The Francois-DuBois Educational Trust (the "Trust"), for which Fiduciary Trust Company of New England 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.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Francois Cedric C/O APELLIS PHARMACEUTICALS, INC 6400 WESTWIND WAY, SUITE A CRESTWOOD, KY 40014
|
X
|
|
Chief Executive Officer
|
|
Signatures
|
/s/ David Watson, attorney-in-fact for Cedric Francois
|
|
9/17/2019
|
**Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person, see Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
Apellis Pharmaceuticals (NASDAQ:APLS)
Historical Stock Chart
From Mar 2024 to Apr 2024
Apellis Pharmaceuticals (NASDAQ:APLS)
Historical Stock Chart
From Apr 2023 to Apr 2024
See More Message Board Posts
It looks like you are not logged in. Click the button below to log in and keep track of your recent history.