0000899243-21-020171.txt : 20210520 0000899243-21-020171.hdr.sgml : 20210520 20210520165310 ACCESSION NUMBER: 0000899243-21-020171 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210518 FILED AS OF DATE: 20210520 DATE AS OF CHANGE: 20210520 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dunlop A. Sinclair CENTRAL INDEX KEY: 0001721108 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38276 FILM NUMBER: 21945150 MAIL ADDRESS: STREET 1: C/O APELLIS PHARMACEUTICALS, INC. STREET 2: 6400 WESTWIND WAY, 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] 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 2021-05-18 0 0001492422 Apellis Pharmaceuticals, Inc. APLS 0001721108 Dunlop A. Sinclair C/O APELLIS PHARMACEUTICALS, INC 100 FIFTH AVENUE WALTHAM MA 02451 1 0 0 0 Common Stock 2021-05-18 4 S 0 64179 51.66 D 110549 I See Footnote Common Stock 2021-05-18 4 S 0 14216 52.63 D 96333 I See Footnote Common Stock 2021-05-18 4 S 0 36387 53.78 D 59946 I See Footnote Common Stock 2021-05-18 4 S 0 22318 54.57 D 37628 I See Footnote Common Stock 2021-05-18 4 S 0 1200 52.01 D 319479 I See Footnote Common Stock 2021-05-18 4 S 0 10388 53.50 D 309091 I See Footnote Common Stock 2021-05-18 4 S 0 800 54.02 D 308291 I See Footnote Common Stock 2021-05-19 4 S 0 7612 50.00 D 300679 I See Footnote Common Stock 2021-05-20 4 S 0 5773 48.10 D 31855 I See Footnote 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. /s/ David Watson, attorney-in-fact for A. Sinclair Dunlop 2021-05-20