Townsend Adam J.'s Form 4 filing
Apellis Pharmaceuticals, Inc.APLS · filed Dec 5, 2023
- Accession no.
- 0001127602-23-028964
- Filed
- Dec 5, 2023
- Trade date
- Dec 1, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Checked
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $6.69M. It was filed 4 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 |
|---|---|
| Townsend Adam J.CIK 0001773588 | Officer (Chief Commercial 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 1, 2023 | Common Stock | MOption exerciseAcquired | +110,000 | $15.09 | +$1,659,900 | 186,407 | Direct | |
| Dec 1, 2023 | Common Stock | SSaleDisposed | −67,557 | $60.50F2 | −$4,087,198.5 | 118,850 | Direct | |
| Dec 1, 2023 | Common Stock | SSaleDisposed | −42,443 | $61.31F3 | −$2,602,180.33 | 76,407 | 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 1, 2023 | Common Stock | MOption exerciseDisposed | −110,000 | $0.00 | $0 | 172,500 | 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 $60 - $60.995. 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.
- F3
This transaction was executed in multiple trades at prices ranging from $61 - $61.65. 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.