Francois Cedric's Form 4 filing
Apellis Pharmaceuticals, Inc.APLS · filed Mar 23, 2023
- Accession no.
- 0001127602-23-011206
- Filed
- Mar 23, 2023
- Trade date
- Mar 21-22, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 5 non-derivative transactions and 4 derivative transactions. Open-market sales total $1.88M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Francois CedricCIK 0001658080 | Director, Officer (Chief Executive Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 21, 2023 | Common Stock | MOption exerciseAcquired | +30,000 | $2.67 | +$80,100 | 1,174,591 | Direct | |
| Mar 21, 2023 | Common Stock | SSaleDisposed | −30,000 | $62.74F2 | −$1,882,200 | 1,144,591 | Direct | |
| Mar 22, 2023 | Common Stock | MOption exerciseAcquired | +20,000 | $2.67 | +$53,400 | 1,164,591 | Direct | |
| Mar 22, 2023 | Common Stock | MOption exerciseAcquired | +100,000 | $3.76 | +$376,000 | 1,264,591 | Direct | |
| Mar 22, 2023 | Common Stock | MOption exerciseAcquired | +7,221 | $13.85 | +$100,010.85 | 1,271,812 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 21, 2023 | Common Stock | MOption exerciseDisposed | −30,000 | $0.00 | $0 | 420,000 | Direct | |
| Mar 22, 2023 | Common Stock | MOption exerciseDisposed | −20,000 | $0.00 | $0 | 400,000 | Direct | |
| Mar 22, 2023 | Common Stock | MOption exerciseDisposed | −100,000 | $0.00 | $0 | 58,840 | Direct | |
| Mar 22, 2023 | Common Stock | MOption exerciseDisposed | −7,221 | $0.00 | $0 | 273,779 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
This transaction was executed in multiple trades at prices ranging from $62.02 to $63.70. 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.
Referenced by the price of 1 transaction in Table I.