Form Type: 4

SEC EDGAR Link
Accession Number:0001127602-21-014487
Date:2021-04-23
Issuer: APELLIS PHARMACEUTICALS, INC. (APLS)
Original Submission Date:

Reporting Person:

DUNLOP A. SINCLAIR
C/O APELLIS PHARMACEUTICALS, INC.
100 FIFTH AVENUE, 3RD FLOOR WALTHAM, MA 02451

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-04-23 M 10,000 a $14.00 60,000 direct
COMMON STOCK 2021-04-23 0 $0.00 320,679 indirect f1
COMMON STOCK 2021-04-23 0 $0.00 174,728 indirect f2
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION (RIGHT TO BUY) 14.0 2021-04-23 deemed execution date M 10,000 (d) 2027-11-08 common stock 10,000 $14.00 61,894 direct
Footnotes
IDfootnote
f1 the securities are held by 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.
f2 the securities are held by 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.
f3 this option was granted on november 8, 2017 and is fully vested.

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