Apellis CMO gifts 900 company shares

Apellis Pharmaceuticals Chief Medical Officer Caroline Baumal reported a bona fide gift of 900 shares of common stock.

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Form Type

Rhea-AI Filing Summary

Apellis Pharmaceuticals Chief Medical Officer Caroline Baumal reported a bona fide gift of 900 shares of common stock. The shares were transferred at no price as a charitable contribution. After this gift, she directly holds 86,525 shares, indicating she retains a substantial equity stake in the company.

Insider Trade Summary

900 shares gifted

Gift 1 txn

Insider Baumal Caroline

Role Chief Medical Officer

Type	Security	Shares	Price	Value
Gift	Common Stock	900	$0.00	$0.00

Holdings After Transaction: Common Stock — 86,525 shares (Direct)

Footnotes (2)

F1. Represents a charitable contribution of shares of common stock
F2. This includes 898 shares from April 30, 2026 ESPP purchase

Key Figures

Shares gifted: 900 shares Shares held after transaction: 86,525 shares Gift transactions in filing: 1 transaction +1 more

4 metrics

Shares gifted 900 shares Common Stock bona fide gift on April 29, 2026

Shares held after transaction 86,525 shares Direct ownership after April 29, 2026 gift

Gift transactions in filing 1 transaction Form 4 transaction summary shows one bona fide gift

Gifted share price $0.0000 per share Reported transaction price for gifted common stock

Key Terms

bona fide gift, Employee Stock Purchase Plan (ESPP), Form 4

3 terms

bona fide gift financial

"transaction_code_description is listed as "Bona fide gift""

A bona fide gift is a genuine, voluntary transfer of money, property, or benefits from one party to another made without expectation of repayment, services, or hidden conditions. Investors care because such gifts can affect company disclosures, related‑party transaction rules, tax treatment, and perceived conflicts of interest; think of it like someone giving you a present with no strings attached — but on a corporate scale, auditors and regulators need to verify it really is unconditional.

Employee Stock Purchase Plan (ESPP) financial

"This includes 898 shares from April 30, 2026 ESPP purchase"

Form 4 regulatory

"INSIDER FILING DATA (Form 4) shows the gift disposition"

Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did Apellis Pharmaceuticals (APLS) report for Caroline Baumal?

Apellis Pharmaceuticals reported that Chief Medical Officer Caroline Baumal made a bona fide gift of 900 common shares. The transfer was a charitable contribution, not a market sale, and was executed at no price per share according to the Form 4 filing details.

How many Apellis (APLS) shares did Caroline Baumal hold after the reported gift?

Following the reported bona fide gift of 900 common shares, Caroline Baumal directly held 86,525 Apellis shares. This post-transaction balance, disclosed in the Form 4, shows she continues to maintain a meaningful ownership position in the company’s common stock.

Was the Apellis (APLS) insider transaction a market sale or a gift?

The transaction was a bona fide gift, not a market sale, involving 900 Apellis common shares. The Form 4 describes the action as a charitable contribution of stock, with a reported price per share of $0.0000, indicating no proceeds were received from the transfer.

What role does the reporting person in the Apellis (APLS) Form 4 hold?

The reporting person, Caroline Baumal, serves as Chief Medical Officer of Apellis Pharmaceuticals. Her officer status is specified in the Form 4, which identifies her title and confirms she is an executive officer rather than a director or ten-percent beneficial owner.

How many Apellis (APLS) shares were reported as gifted in the Form 4 filing?

The Form 4 filing reports that 900 shares of Apellis common stock were gifted. The transaction code is “G” for bona fide gift, and filing data classify it as a non-derivative disposition with a charitable purpose, based on the accompanying explanatory footnote language.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 05/01/2026 - 04:20 PM

SEC Form 4

FORM 4

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

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

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^*

Baumal Caroline

(Last)

(First)

(Middle)

C/O APELLIS PHARMACEUTICALS, INC.

100 FIFTH AVENUE, 3RD FLOOR

(Street)

WALTHAM

MASSACHUSETTS

02451

(City)

(State)

(Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Apellis Pharmaceuticals, Inc. [ APLS ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	Chief Medical Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
04/29/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	04/29/2026		G		900⁽¹⁾	D	$0	86,525⁽²⁾	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. Represents a charitable contribution of shares of common stock

2. This includes 898 shares from April 30, 2026 ESPP purchase

	/s/ David Watson, attorney-in-fact for Caroline Baumal	05/01/2026
	** Signature of Reporting Person	Date
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.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR