0001127602-24-000110.txt : 20240102 0001127602-24-000110.hdr.sgml : 20240102 20240102160930 ACCESSION NUMBER: 0001127602-24-000110 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240101 FILED AS OF DATE: 20240102 DATE AS OF CHANGE: 20240102 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dunlop A. Sinclair CENTRAL INDEX KEY: 0001721108 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38276 FILM NUMBER: 24502466 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] 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 2024-01-01 0001492422 Apellis Pharmaceuticals, Inc. APLS 0001721108 Dunlop A. Sinclair C/O APELLIS PHARMACEUTICALS, INC. 100 FIFTH AVENUE, 3RD FLOOR WALTHAM MA 02451 1 0 Common Stock 2024-01-01 4 A 0 3341 0 A 132018 D Common Stock 192679 I Indirect Owner (Epidarex) Common Stock 31855 I Indirect Owner (Masa) Stock Option (Right to Buy) 59.86 2024-01-01 4 A 0 5748 59.86 A 2030-12-31 Common Stock 5748 5748 D This restricted stock unit was granted on January 1, 2024. The restricted stock unit will fully vest on the first anniversary of the date of grant, subject to his continued service as a director, or upon later termination of his service as a director at his election. 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. 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. This option was granted on January 1, 2024. The option vests quarterly on the last day of each quarter from the date of grant, subject to his continued service as a director and expires seven years after the date of grant. /s/ David Watson, attorney-in-fact for Sinclair Dunlop 2024-01-02