Statement of Changes in Beneficial Ownership (4)
February 20 2020 - 4:08PM
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
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Francois Cedric |
2. Issuer Name and Ticker or Trading Symbol
Apellis Pharmaceuticals, Inc.
[
APLS
]
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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, 100 FIFTH AVENUE, 3RD FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/18/2020 |
(Street)
WALTHAM, MA 02451
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 2/18/2020 | | M | | 30637 | A | $2.14 | 1063067 | D | |
Common Stock | 2/18/2020 | | S(1) | | 30637 | D | $40.663 (2) | 1032430 | D | |
Common Stock | 2/18/2020 | | S(1) | | 5000 | D | $40.666 (3) | 1027430 | D | |
Common Stock | 2/19/2020 | | M | | 30637 | A | $2.14 | 1058067 | D | |
Common Stock | | | | | | | | 234411 | I | See Footnote (4) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 |
Stock Option (Right to Buy) | $2.14 | 2/18/2020 | | M | | | 30637 | (5) | 5/12/2020 | Common Stock | 30637 | $0 | 91911 | D | |
Stock Option (Right to Buy) | $2.14 | 2/19/2020 | | M | | | 30637 | (5) | 5/12/2020 | Common Stock | 30637 | $0 | 61274 | D | |
Explanation of Responses: |
(1) | This is a scheduled sale from 10B5-1 trading plan. |
(2) | Average Sale Price: Min. $40.36 Max $41.18 |
(3) | Average Sale Price: Min. $40.37 Max. $41.12 |
(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. |
(5) | This option was granted on May 12, 2010 and is fully vested. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Francois Cedric C/O APELLIS PHARMACEUTICALS, INC 100 FIFTH AVENUE, 3RD FLOOR WALTHAM, MA 02451 | X |
| Chief Executive Officer |
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Signatures
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/s/ David Watson, attorney-in-fact for Cedric Francois | | 2/20/2020 |
**Signature of Reporting Person | Date |
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