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Apellis Pharmaceuticals, Inc. — Director's Dealing 2017
Nov 8, 2017
31417_dirs_2017-11-08_5dd8a3b3-6d2e-4100-8844-33ecaa5d6d06.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Apellis Pharmaceuticals, Inc. (APLS)
CIK: 0001492422
Period of Report: 2017-11-08
Reporting Person: Dunlop A. Sinclair (Director)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 186371 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (right to buy) | $14.00 | 2027-11-08 | Common Stock (121894) | Direct | |
| Series B Preferred Stock | $ | Common Stock (213100) | Indirect | ||
| Series C Preferred Stock | $ | Common Stock (150023) | Indirect | ||
| Series D Preferred Stock | $ | Common Stock (31478) | Indirect | ||
| Series E Preferred Stock | $ | Common Stock (6078) | Indirect |
Footnotes
F1: The securities are held by MASA Life Science Ventures, LP ("MASA") and the reporting person, a managing partner of MASA, may be deemed to have voting and dispositive power over the shares held by MASA. The reporting person disclaims beneficial ownership over the shares held by MASA except to the extent of his pecuniary interest therein.
F2: This option was granted on November 8, 2017 and immediately vested as to 50% of the shares underlying the option on November 8, 2017, with the remainder vesting in 12 equal monthly installments with the first installment vesting on December 8, 2017.
F3: The Series B, Series C, Series D and Series E Preferred Stock are convertible into Common Stock on a 2.133-for-one basis into the number of shares of Common Stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering without payment of further consideration. The shares have no expiration date.
F4: The securities are held by Epidarex Capital I, LP ("Epidarex") and the reporting person, a general partner of Epidarex, may be deemed to have voting and dispositive power over the shares held by Epidarex. The reporting person disclaims beneficial ownership over the shares held by Epidarex except to the extent of his pecuniary interest therein.