0000899243-23-005786.txt : 20230222 0000899243-23-005786.hdr.sgml : 20230222 20230222064514 ACCESSION NUMBER: 0000899243-23-005786 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230221 FILED AS OF DATE: 20230222 DATE AS OF CHANGE: 20230222 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Nicholson Nur CENTRAL INDEX KEY: 0001827317 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38276 FILM NUMBER: 23650486 MAIL ADDRESS: STREET 1: APELLIS PHARMACEUTICALS, INC. STREET 2: 100 5TH AVENUE, 3RD FLOOR CITY: WALTHAM STATE: MA ZIP: 02451 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Apellis Pharmaceuticals, Inc. CENTRAL INDEX KEY: 0001492422 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 271537290 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 100 FIFTH AVENUE CITY: WALTHAM STATE: MA ZIP: 02451 BUSINESS PHONE: 617-977-5700 MAIL ADDRESS: STREET 1: 100 FIFTH AVENUE CITY: WALTHAM STATE: MA ZIP: 02451 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2023-02-21 0 0001492422 Apellis Pharmaceuticals, Inc. APLS 0001827317 Nicholson Nur C/O APELLIS PHARMACEUTICALS, INC. 100 FIFTH AVENUE. WALTHAM MA 02451 0 1 0 0 Chief Technical Officer Common Stock 2023-02-21 4 A 0 9886 0.00 A 64328 D Common Stock 2023-02-21 4 F 0 825 58.50 D 63503 D Stock Option (Right to Buy) 35.46 2023-02-21 4 A 0 14023 0.00 A 2032-01-20 Common Stock 14023 14023 D The Reporting Person was granted performance-based restricted stock units ("PRSUs") on January 21, 2022, the vesting of which was subject to the attainment of each of the following events: (i) the submission of a new drug application ("NDA") for intravitreal pegcetacoplan with the U.S. Food and Drug Administration ("FDA") for the treatment of geographic atrophy secondary to age-related macular degeneration in the second quarter of 2022; (ii) the acceptance of such NDA with priority review by the FDA; and (iii) receipt of approval of the NDA by the FDA by March 15, 2023 (collectively, the "2022 Performance Condition"). On February 21, 2023, the Compensation Committee determined that the 2022 Performance Condition had been achieved, resulting in the vesting of 2,471 shares of common stock, representing 25% of the shares underlying the PRSUs. The remaining shares underlying the PRSUs vest as to 25% on each anniversary of the grant date thereafter, subject to continued service. Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of PRSUs. The Reporting Person was granted performance-based stock options on January 21, 2022, the vesting of which was subject to the attainment of the 2022 Performance Condition. On February 21, 2023, the Compensation Committee determined that the 2022 Performance Condition had been achieved, resulting in the vesting of 25% of the shares underlying the option. The remaining shares underlying the option vest in equal monthly installments thereafter through the fourth anniversary of the grant date, subject to continued service. /s/ David Watson, attorney-in-fact for Nur Nicholson 2023-02-21