Watson David O.'s Form 4 filing
Apellis Pharmaceuticals, Inc. (APLS) · filed Dec 20, 2023
- Accession no.
- 0001127602-23-030172
- Filed
- Dec 20, 2023
- Trade date
- Dec 19, 2023
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $223.5K. 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 |
|---|---|
| Watson David O.CIK 0001657719 | Officer (General Counsel) |
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 19, 2023 | Common Stock | MOption exerciseAcquired | +7,905 | $13.85 | +$109,484.25 | 93,658 | Direct | |
| Dec 19, 2023 | Common Stock | SSaleDisposed | −1,605 | $57.00F4 | −$91,485 | 92,053 | Direct | |
| Dec 19, 2023 | Common Stock | SSaleDisposed | −2,300 | $57.38F5 | −$131,974 | 89,753 | 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 19, 2023 | Common Stock | MOption exerciseDisposed | −7,905 | $0.00 | $0 | 3,762 | 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.
- F4
This transaction was executed in multiple trades at prices ranging from $56.290 - $57.280. 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 $57.300 - $57.830. 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.