Form Type: 4

SEC EDGAR Link
Accession Number:0000899243-21-020171
Date:2021-05-18
Issuer: APELLIS PHARMACEUTICALS, INC. (APLS)
Original Submission Date:

Reporting Person:

DUNLOP A. SINCLAIR
C/O APELLIS PHARMACEUTICALS, INC
100 FIFTH AVENUE 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 2021-05-18 S 64,179 d $51.66 110,549 indirect f9
COMMON STOCK 2021-05-18 S 14,216 d $52.63 96,333 indirect f9
COMMON STOCK 2021-05-18 S 36,387 d $53.78 59,946 indirect f9
COMMON STOCK 2021-05-18 S 22,318 d $54.57 37,628 indirect f9
COMMON STOCK 2021-05-18 S 1,200 d $52.01 319,479 indirect f10
COMMON STOCK 2021-05-18 S 10,388 d $53.50 309,091 indirect f10
COMMON STOCK 2021-05-18 S 800 d $54.02 308,291 indirect f10
COMMON STOCK 2021-05-19 S 7,612 d $50.00 300,679 indirect f10
COMMON STOCK 2021-05-20 S 5,773 d $48.10 31,855 indirect f9
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
Footnotes
IDfootnote
f1 the reported transaction involved a sale of shares held by masa life science ventures, lp ("masa"). the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $51.16 to $52.15. the reporting person undertakes to provide to apellis pharmaceuticals, inc., any security holder of apellis pharmaceuticals, inc., or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) through (4) to this form 4.
f2 the reported transaction involved a sale of shares held by masa. the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $52.16 to $53.12.
f3 the reported transaction involved a sale of shares held by masa. the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $53.16 to $54.15.
f4 the reported transaction involved a sale of shares held by masa. the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $54.16 to $54.94.
f5 the reported transaction involved a sale of shares held by epidarex capital i, lp ("epidarex"). the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $52.00 to $52.03. the reporting person undertakes to provide to apellis pharmaceuticals, inc., any security holder of apellis pharmaceuticals, inc., or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (5) through (7) to this form 4.
f6 the reported transaction involved a sale of shares held by epidarex. the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $53.00 to $53.99.
f7 the reported transaction involved a sale of shares held by epidarex. the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $54.00 to $54.04.
f8 the reported transaction involved a sale of shares held by masa. the price reported in column 4 is a weighted average price. the shares were sold in multiple transactions at prices ranging from $48.00 to $48.50.
f9 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.
f10 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.

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