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Apellis Pharmaceuticals, Inc. — Director's Dealing 2017
Nov 13, 2017
31417_dirs_2017-11-13_5ccf8ba0-1b4c-4244-bc53-1110e93d9e21.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Apellis Pharmaceuticals, Inc. (APLS)
CIK: 0001492422
Period of Report: 2017-11-13
Reporting Person: Dunlop A. Sinclair (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-11-13 | Common Stock | C | 400679 | — | Acquired | 400679 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-11-13 | Series B Preferred Stock | $ | C | 213100 | Disposed | Common Stock (454444) | Indirect | |
| 2017-11-13 | Series C Preferred Stock | $ | C | 150023 | Disposed | Common Stock (320000) | Indirect | |
| 2017-11-13 | Series D Preferred Stock | $ | C | 31478 | Disposed | Common Stock (67144) | Indirect | |
| 2017-11-13 | Series E Preferred Stock | $ | C | 6078 | Disposed | Common Stock (12965) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 186371 | Indirect |
Footnotes
F1: The Series B, Series C, Series D and Series E Preferred Stock converted into Common Stock on a 2.133-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D and Series E Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
F2: 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.
F3: 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.