# EDGAR Filing Document

**Accession Number:** 0001492422
**File Stem:** 0001127602-23-001498
**Filing Date:** 2023-1
**Character Count:** 6978
**Document Hash:** 8fd95f61e33bdb2d711f4d11981b1672
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001127602-23-001498.hdr.sgml**: 20230117

**ACCESSION NUMBER**: 0001127602-23-001498

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20220425

**FILED AS OF DATE**: 20230117

**DATE AS OF CHANGE**: 20230117

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Lewis Karen
- **CENTRAL INDEX KEY:** 0001814304

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38276
- **FILM NUMBER:** 23532618

**MAIL ADDRESS:**
- **STREET 1:** APELLIS PHARMACEUTICALS, INC.
- **STREET 2:** 100 5TH AVENUE, 3RD FLOOR
- **CITY:** WALTHAM
- **STATE:** MA
- **ZIP:** 02451
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Apellis Pharmaceuticals, Inc.
- **CENTRAL INDEX KEY:** 0001492422
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **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

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Lewis Karen<br><sub>(Last) (First) (Middle)</sub><br>C/O APELLIS PHARMACEUTICALS, INC.<br><sub>(Street)</sub><br>WALTHAM, MA 02451<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-04-25 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Chief People Officer_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Apellis Pharmaceuticals, Inc. [ APLS ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2022-04-25 |  | J |  | 1250<sup>(1)</sup> | D | $0 | 22224 | D |  |
| Common Stock | 2023-01-12 |  | A |  | 19634<sup>(2)</sup> | A | $0 | 42075<sup>(3)</sup> | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Stock Option (Right to Buy) | $44.90 | 2022-04-25 |  | J |  |  | 7500<sup>(4)</sup> | <sup>(5)</sup> | 2031-01-27 | Common Stock | 7500 | $0 | 0 | D |  |
| Stock Option (Right to Buy) | $52.66 | 2023-01-12 |  | A |  | 30845 |  | <sup>(6)</sup> | 2033-01-11 | Common Stock | 30845 | $52.66 | 30845 | D |  |

---

### Footnotes:

(1) This represents the cancellation of a PSU awards granted on 01/28/2021 that was originally reported in table I upon grant. The performance metrics were not met.

(2) This represents a Restricted Stock Unit award granted 01/12/23 that vest annually from grant date over a four year period subject to continued service.

(3) This includes 125 shares from the 4/29/22 ESPP Purchase and 92 shares from the 10/31/22 ESPP Purchase.

(4) This represents the cancellation of a performance stock option granted on 01/28/2021. The performance metrics were not met.

(5) This stock option will vest as to 25% of the shares underlying the options on the first anniversary of the grant, with the remaining 75% of the shares underlying the options vesting in equal monthly installments thereafter through the fourth anniversary of the grant, subject to the satisfaction of a specified performance condition and continued service.

(6) This represents a stock option award granted 01/12/2023 that vest over a four year period.  25% vest one year from grant date and the remaining 75% vest monthly thereafter subject to continued service.

**Signature:** /s/ David Watson, attorney-in-fact for Karen Lewis  
**Date:** 2023-01-17

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**