Accession Number: | 0001127602-21-014077 |
Date: | 2021-04-16 |
Issuer: | APELLIS PHARMACEUTICALS, INC. (APLS) |
Original Submission Date: |
DUNLOP A. SINCLAIR
C/O APELLIS PHARMACEUTICALS, INC.
100 FIFTH AVENUE, 3RD FLOOR
WALTHAM, MA 02451
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2021-04-16 | M | 50,000 | a | $14.00 | 50,000 | direct | ||
COMMON STOCK | 2021-04-16 | 0 | $0.00 | 320,679 | indirect | f1 | |||
COMMON STOCK | 2021-04-16 | 0 | $0.00 | 174,728 | indirect | f2 |
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 Exercisable | Expiration 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 | 2021-04-16 | deemed execution date | M | 50,000 (d) | 2027-11-08 | common stock 50,000 | $14.00 | 71,894 | direct |
ID | footnote |
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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. |