0001127602-24-008505.txt : 20240305 0001127602-24-008505.hdr.sgml : 20240305 20240305160701 ACCESSION NUMBER: 0001127602-24-008505 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240301 FILED AS OF DATE: 20240305 DATE AS OF CHANGE: 20240305 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Francois Cedric CENTRAL INDEX KEY: 0001658080 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38276 FILM NUMBER: 24720319 MAIL ADDRESS: STREET 1: 6400 WESTWIND WAY STREET 2: SUITE A CITY: CRESTWOOD STATE: KY ZIP: 40014 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Apellis Pharmaceuticals, Inc. CENTRAL INDEX KEY: 0001492422 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences 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 X0508 4 2024-03-01 0001492422 Apellis Pharmaceuticals, Inc. APLS 0001658080 Francois Cedric C/O APELLIS PHARMACEUTICALS, INC. 100 FIFTH AVENUE, 3RD FLOOR WALTHAM MA 02451 1 1 Chief Executive Officer 1 Common Stock 532946 I Indirect Owner (The Cedric Francois Irrevocable Trust of 2023 - 2) Common Stock 654211 I Indirect Owner (The Cedric Francois Irrevocable Trust of 2023) Common Stock 300000 I Indirect Owner (The Francois Grossi Trust) Common Stock 234411 I Indirect Owner (The Francois-DuBois Educational Trust) Common Stock 2024-03-01 4 M 0 50000 3.76 A 363662 D Common Stock 2024-03-01 4 M 0 200000 4.31 A 563662 D Common Stock 2024-03-01 4 S 0 28868 62.213 D 534794 D Common Stock 2024-03-01 4 S 0 41704 62.9631 D 493090 D Common Stock 2024-03-01 4 S 0 62503 64.2573 D 430587 D Common Stock 2024-03-01 4 S 0 116512 64.9163 D 314075 D Common Stock 2024-03-01 4 S 0 413 65.68 D 313662 D Stock Option (Right to Buy) 3.76 2024-03-01 4 M 0 50000 0 D 2026-02-06 Common Stock 50000 8840 D Stock Option (Right to Buy) 4.31 2024-03-01 4 M 0 200000 0 D 2027-08-20 Common Stock 200000 175538 D The securities are held by The Cedric Francois Irrevocable Trust of 2023 - 2. William V. A. Zorn is the trustee of The Cedric Francois Irrevocable Trust of 2023 - 2. The reporting person disclaims beneficial ownership over the shares held by The Cedric Francois Irrevocable Trust of 2023 - 2 except to the extent of his pecuniary interest therein. The securities are held by The Cedric Francois Irrevocable Trust of 2023. William V. A. Zorn is the trustee of The Cedric Francois Irrevocable Trust of 2023. The reporting person disclaims beneficial ownership over the shares held by The Cedric Francois Irrevocable Trust of 2023 except to the extent of his pecuniary interest therein. The securities are held by The Francois Grossi Trust, for which Juliana Grossi, the spouse of the reporting person, serves as trustee. The reporting person disclaims beneficial ownership over the shares held by the Francois Grossi Trust except to the extent of his pecuniary interest therein. The securities are held by The Francois-DuBois Educational Trust, for which the Fiduciary Trust Company of New England serves as trustee. The reporting person disclaims beneficial ownership over the shares held by The Francois-DuBois Educational Trust except to the extent of his pecuniary interest therein. This is a scheduled exercise & sale from 10b5-1 trading plan dated 11/30/2023. This is a scheduled exercise & sale from 10b5-1 trading plan dated 11/30/2023. This transaction was executed in multiple trades at prices ranging from $61.615 - $62.605. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $62.61 - $63.51. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $63.665 - $64.645. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $64.6575 - $65.59 The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $65.67 - $65.69 The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This option was granted on February 8, 2016 and fully vested. This option was granted on August 21, 2017 and is fully vested. /s/ David Watson, attorney-in-fact for Cedric Francois 2024-03-05