# EDGAR Filing Document

**Accession Number:** 0001492422
**File Stem:** 0001193125-23-004423
**Filing Date:** 2023-1
**Character Count:** 7121
**Document Hash:** 051f3bcb779737957fac600e1ed8a65d
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001193125-23-004423.hdr.sgml**: 20230109

**ACCESSION NUMBER**: 0001193125-23-004423

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 14

**CONFORMED PERIOD OF REPORT**: 20230109

**ITEM INFORMATION**: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20230109

**DATE AS OF CHANGE**: 20230109

**FILER**: 

**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

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38276
- **FILM NUMBER:** 23517289

**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

?xml version="1.0" encoding="utf-8" ? 8-K

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### UNITED STATES

### SECURITIES AND EXCHANGE COMMISSION

#### WASHINGTON, D.C. 20549

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### FORM 8-K

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#### CURRENT REPORT

#### Pursuant to Section 13 or 15(d)

#### of the Securities Exchange Act of 1934

#### Date of Report (Date of earliest event reported): January 9, 2023

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## Apellis Pharmaceuticals, Inc.

#### (Exact Name of Registrant as Specified in its Charter)

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| | | |
|:---|:---|:---|
| **Delaware** | **001-38276** | **27-1537290** |
| **(State or Other Jurisdiction<br>of Incorporation)** | **(Commission**<br> **File Number)** | **(IRS Employer<br>Identification No.)** |

---

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| | |
|:---|:---|
| **100 Fifth Avenue**<br> **Waltham, MA** | **02451** |
| **(Address of Principal Executive Offices)** | **(Zip Code)** |

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#### Registrant's telephone number, including area code: (617) 977-5700

#### Not applicable

#### (Former Name or Former Address, if Changed Since Last Report)

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Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (*see* General Instruction A.2. below):

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

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| | | |
|:---|:---|:---|
| **Title of each class** | **Trading<br>Symbol(s)** | **Name of each exchange**<br> **on which registered** |
| Common Stock | APLS | Nasdaq Global Select Market |

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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

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| | |
|:---|:---|
| **Item 5.02** | **Results of Operations and Financial Condition.**  |

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On January 9, 2023, Apellis Pharmaceuticals, Inc. (the "Company") posted on its website a corporate presentation, which it plans to present at the 41st Annual J.P. Morgan Health Care Conference on January 9, 2023. In the corporate presentation, the Company disclosed that based on preliminary financial information it expects to report that it recorded approximately $65 million in net product revenue from sales of EMPAVELI in the United States for the year ended December 31, 2022. The related excerpt from the presentation is attached as Exhibit 99.1 hereto.

The Company's net product revenue figure is preliminary and unaudited, represents management's estimate as of the date of this report and is subject to completion of the Company's financial closing procedures. The Company's independent registered public accounting firm has not conducted an audit or review of, and does not express an opinion or any other form of assurance with respect to, the Company's net product revenue from sales of EMPAVELI.

The information in this Item 2.02, including Exhibit 99.1 hereto, shall not be deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as expressly set forth by specific reference in such a filing.

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| | |
|:---|:---|
| **Item 9.01** | **Financial Statements and Exhibits.**  |

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| | |
|:---|:---|
| **Exhibit No.** | **Description** |
| 99.1 | [Excerpt from corporate presentation dated January 2023](d436376dex991.htm) |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |

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#### SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

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| | | |
|:---|:---|:---|
| | **Apellis Pharmaceuticals, Inc.** | **Apellis Pharmaceuticals, Inc.** |
| Date: January 9, 2023 | By: | /s/ Timothy Sullivan |
|  |  | Timothy Sullivan |
|  |  | Chief Financial Officer |

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## Exhibit 99.1

![Slide 1](g436376ex99_1s1g1.jpg)

2022 was a transformational year Submitted NDA to U.S. FDA Submitted MAA to EMA U.S. commercial preparations complete; deployed ~100 field-based employees mid-2022 Appointed leading retina specialist, Dr. Caroline Baumal as Chief Medical Officer (effective Q1 2023) ~$65 million1 in U.S. net product sales Submitted sNDA for PRINCE & 48-week PEGASUS data Submitted sNDA for EMPAVELI injector Completed >800 patient years of systemic dosing2 Progressed late-stage clinical studies with partner Sobi Advanced early-stage pipeline across therapeutic areas Completed enrollment in Phase 2 ALS study Geographic Atrophy (GA): Ready to launch first-ever treatment Paroxysmal Nocturnal Hemoglobinuria (PNH): Continued growth in demand Pipeline: Leaders in complement 1 Estimated 2022 EMPAVELI U.S. net product sales are unaudited, preliminary and based on management's estimate as of the date of this presentation and are subject to completion of the Company's financial closing procedures. 2. Includes 694 patients as of November 2022 from all subcutaneous pegcetacoplan clinical trials and post-marketing exposure of EMPAVELI. Exhibit 99.1