Baumal Caroline — SEC Form 4 filings
SEC reporting owner CIK 1961100. 9 Form 4 filings on record with FilingPulse; latest filed 2026-05-14.
Transaction summary — filings shown
Covers all 9 filings on record, filed 2024-01-17 to 2026-05-14. Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.
- Open-market purchases (code P, non-derivative): none reported.
- Open-market sales (code S, non-derivative): 5 legs across 5 filings — 12,368 shares, $325,952 total (shares × price as filed).
- Other reported legs (grants, option exercises, tax withholding, gifts, derivative-security transactions, …): 16.
- Largest priced transaction: sale of 2,816 shares @ $33.81 ($95,215) in Apellis Pharmaceuticals, Inc., filed 2025-01-08.
By issuer — same filings
Open-market purchase/sale legs on non-derivative securities, grouped by issuer. Role is as filed on the newest filing for that issuer. Dollar totals cover priced legs only (shares × price as filed). Ordered by priced transaction value, largest first.
| Issuer | Role (as filed) | Filings | Purchases (P) | Sales (S) | Other legs |
|---|---|---|---|---|---|
| Apellis Pharmaceuticals, Inc. (APLS) | Chief Medical Officer | 9 | — | 5 legs · 12,368 sh · $325,952 | 16 |
Form 4 filings — Baumal Caroline
| Filed | Form | Issuer | Reported transactions | Source |
|---|---|---|---|---|
| 2026-05-14 | 4 | Apellis Pharmaceuticals, Inc. (APLS) | Code (U): 86,525 · Grant/award (A): 41,250 · Disposition to issuer (D): 41,250 · Grant/award (A): 26,396 · Disposition to issuer (D): 26,396 · Disposition to issuer (D): 8,888 · +5 more | EDGAR |
| 2026-05-01 | 4 | Apellis Pharmaceuticals, Inc. (APLS) | Gift (G): 900 @ $0 | EDGAR |
| 2026-01-23 | 4 | Apellis Pharmaceuticals, Inc. (APLS) | Sale (S): 2,797 @ $21.77 | EDGAR |
| 2026-01-21 | 4 | Apellis Pharmaceuticals, Inc. (APLS) | Sale (S): 1,882 @ $19.79 | EDGAR |
| 2026-01-06 | 4 | Apellis Pharmaceuticals, Inc. (APLS) | Sale (S): 3,020 @ $25.53 | EDGAR |
| 2025-06-11 | 4 | Apellis Pharmaceuticals, Inc. (APLS) | Grant/award (A): 82,500 (derivative) @ $19.39 | EDGAR |
| 2025-01-21 | 4 | Apellis Pharmaceuticals, Inc. (APLS) | Sale (S): 1,853 @ $29.96 · Grant/award (A): 39,594 @ $0 | EDGAR |
| 2025-01-08 | 4 | Apellis Pharmaceuticals, Inc. (APLS) | Sale (S): 2,816 @ $33.81 | EDGAR |
| 2024-01-17 | 4 | Apellis Pharmaceuticals, Inc. (APLS) | Grant/award (A): 25,445 @ $0 · Grant/award (A): 37,000 (derivative) @ $66.30 | EDGAR |
FilingPulse's Form 4 archive currently extends back to 2024-01-11 and is expanding backward through EDGAR history — earlier filings by this insider may not be indexed yet. Names and roles are shown as filed.
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