# EDGAR Filing Document

**Accession Number:** 0001496687
**File Stem:** 0001127602-23-010957
**Filing Date:** 2023-3
**Character Count:** 6550
**Document Hash:** b02304b23ec15d72ae2030ec126d0121
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001127602-23-010957.hdr.sgml**: 20230321

**ACCESSION NUMBER**: 0001127602-23-010957

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230317

**FILED AS OF DATE**: 20230321

**DATE AS OF CHANGE**: 20230321

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Machiels Alec
- **CENTRAL INDEX KEY:** 0001496687

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38276
- **FILM NUMBER:** 23750114

**MAIL ADDRESS:**
- **STREET 1:** 505 PARK AVENUE
- **STREET 2:** 21ST FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10022
**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>Machiels Alec<br><sub>(Last) (First) (Middle)</sub><br>C/O APELLIS PHARMACEUTICALS, INC.<br>100 FIFTH AVENUE, 3RD FLOOR<br><sub>(Street)</sub><br>WALTHAM, MA 02451<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-17 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **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 | 2023-03-17 |  | M<sup>(1)</sup> |  | 1250 | A | $2.67 | 268891 | D |  |
| Common Stock | 2023-03-17 |  | S<sup>(1)</sup> |  | 1250 | D | $64.03 | 267641 | D |  |
| Common Stock |  |  |  |  |  |  |  | 250000 | I | Indirect Owner (Bauhaus 1 LLC)<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 11950 | I | Indirect Owner (Owned by Spouse)<sup>(3)</sup> |
| Common Stock |  |  |  |  |  |  |  | 150000 | I | Indirect Owner (Spouse Trust)<sup>(4)</sup> |

---

## 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) | $2.67 | 2023-03-17 |  | M<sup>(1)</sup> |  |  | 1250 | <sup>(5)</sup> | 2023-12-04 | Common Stock | 1250 | $0 | 109779 | D |  |

---

### Footnotes:

(1) This is a scheduled exercise and sale from 10B5-1 trading plan.

(2) The shares are held by Bauhaus 1 LLC, which LLC is held by The Irrevocable Agreement of Trust of Alec Machiels (the "Trust"). The reporting person is the managing member of Bauhaus 1 LLC and the trustee of the Trust.

(3) Owned by spouse.

(4) On September 7, 2021, the reporting person's spouse transferred 150,000 shares of Apellis Pharmaceuticals, Inc. common stock to her trust, of which the reporting person is the trustee.

(5) This option was granted on December 5, 2013 and fully vested.

**Signature:** /s/ David Watson, attorney-in-fact for Alec Machiels  
**Date:** 2023-03-21

### 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.**