0001127602-23-001498.txt : 20230117 0001127602-23-001498.hdr.sgml : 20230117 20230117193918 ACCESSION NUMBER: 0001127602-23-001498 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220425 FILED AS OF DATE: 20230117 DATE AS OF CHANGE: 20230117 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lewis Karen CENTRAL INDEX KEY: 0001814304 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38276 FILM NUMBER: 23532618 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 form4.xml PRIMARY DOCUMENT X0306 4 2022-04-25 0001492422 Apellis Pharmaceuticals, Inc. APLS 0001814304 Lewis Karen C/O APELLIS PHARMACEUTICALS, INC. WALTHAM MA 02451 1 Chief People Officer Common Stock 2022-04-25 4 J 0 1250 0 D 22224 D Common Stock 2023-01-12 4 A 0 19634 0 A 42075 D Stock Option (Right to Buy) 44.90 2022-04-25 4 J 0 7500 0 D 2031-01-27 Common Stock 7500 0 D Stock Option (Right to Buy) 52.66 2023-01-12 4 A 0 30845 52.66 A 2033-01-11 Common Stock 30845 30845 D This represents the cancellation of a PSU awards granted on 01/28/2021 that was originally reported in table I upon grant. The performance metrics were not met. This represents a Restricted Stock Unit award granted 01/12/23 that vest annually from grant date over a four year period subject to continued service. This includes 125 shares from the 4/29/22 ESPP Purchase and 92 shares from the 10/31/22 ESPP Purchase. This represents the cancellation of a performance stock option granted on 01/28/2021. The performance metrics were not met. This stock option will vest as to 25% of the shares underlying the options on the first anniversary of the grant, with the remaining 75% of the shares underlying the options vesting in equal monthly installments thereafter through the fourth anniversary of the grant, subject to the satisfaction of a specified performance condition and continued service. This represents a stock option award granted 01/12/2023 that vest over a four year period. 25% vest one year from grant date and the remaining 75% vest monthly thereafter subject to continued service. /s/ David Watson, attorney-in-fact for Karen Lewis 2023-01-17