Sullivan Timothy Eugene's Form 4 filing
Apellis Pharmaceuticals, Inc.APLS · filed Jun 6, 2023
- Accession no.
- 0001127602-23-018065
- Filed
- Jun 6, 2023
- Trade date
- Jun 5, 2023
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Checked
This filing lists 5 non-derivative transactions and 1 derivative transaction. Open-market sales total $6.20M. It was filed 1 day 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 |
|---|---|
| Sullivan Timothy EugeneCIK 0001707000 | Officer (Chief Financial 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 |
|---|---|---|---|---|---|---|---|---|
| Jun 5, 2023 | Common Stock | MOption exerciseAcquired | +69,779 | $10.03 | +$699,883.37 | 147,492 | Direct | |
| Jun 5, 2023 | Common Stock | SSaleDisposed | −1,600 | $90.60F3 | −$144,960 | 145,892 | Direct | |
| Jun 5, 2023 | Common Stock | SSaleDisposed | −30,609 | $87.79F4 | −$2,687,164.11 | 115,283 | Direct | |
| Jun 5, 2023 | Common Stock | SSaleDisposed | −7,064 | $88.36F5 | −$624,175.04 | 108,219 | Direct | |
| Jun 5, 2023 | Common Stock | SSaleDisposed | −30,506 | $89.83F6 | −$2,740,353.98 | 77,713 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jun 5, 2023 | Common Stock | MOption exerciseDisposed | −69,779 | $0.00 | $0 | 288,840 | 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.
- F3
This transaction was executed in multiple trades at prices ranging from $90.380 - $90.790. 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.
- F4
This transaction was executed in multiple trades at prices ranging from $87.155 - $88.150. 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.
- F5
This transaction was executed in multiple trades at prices ranging from $88.160 - $89.130. 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.
- F6
This transaction was executed in multiple trades at prices ranging from $89.375 - $90.370. 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.