APLS 2017 Annual Report

106 PART IV Item 15. Exhibits, Financial Statement Schedules. (a) Documents filed as a part of this Report: (1) Financial Statements —Included in Item 8 of this Annual Report on Form 10-K. Report of Independent Registered Public Accounting Firm 86 Consolidated Financial Statements as of and for the years ended December 31, 2016 and 2017 and for each of the three years in the period ended December 31, 2017: Consolidated Balance Sheets as of December 31, 2016 and 2017 87 Consolidated Statements of Operations and Comprehensive Loss for the years ended December 31, 2015, 2016 and 2017 88 Consolidated Statements of Changes in Stockholders’ Equity for the period from January 1, 2015 to December 31, 2017 89 Consolidated Statements of Cash Flows for the years ended December 31, 2015, 2016 and 2017 90 Notes to Consolidated Financial Statements 91 (2) Financial Statement Schedules No financial statement schedules have been filed as part of this Annual Report on Form 10-K because they are not applicable, not required or the required information is otherwise included in our consolidated financial statements or notes thereto. (3) Index to Exhibits. Exhibit Index Incorporated by Reference Exhibit Date of Exhibit Filed Number Description of Exhibit Form File Number Filing Number Herewith 2.1* Asset Purchase Agreement S-1 333-220941 10/13/2017 2.1 3.1 Restated Certificate of Incorporation of the Registrant 8-K 001-38276 11/13/2017 3.1 3.2 Amended and Restated By-Laws of the Registrant 8-K 001-38276 11/13/2017 3.2 4.1 Specimen Stock Certificate evidencing the shares of common stock S-1/A 333-220941 10/27/2017 4.1 4.2 Investors’ Rights Agreement dated as of August 7, 2017, among the Registrant and the other parties thereto S-1 333-220941 10/13/2017 4.2 10.1+ 2010 Equity Incentive Plan, as amended S-1 333-220941 10/13/2017 10.1 10.2+ Form of Incentive Stock Option Grant Notice and Agreement under 2010 Equity Incentive Plan S-1 333-220941 10/13/2017 10.2 10.3+ Form of Incentive Stock Option Grant Notice and Agreement under 2010 Equity Incentive Plan S-1 333-220941 10/13/2017 10.3 10.4+ 2017 Stock Incentive Plan S-1/A 333-220941 10/30/2017 10.4 10.5+ Form of Incentive Stock Option Agreement under 2017 Stock Incentive Plan S-1/A 333-220941 10/27/2017 10.5 10.6+ Form of Nonstatutory Stock Option Agreement under 2017 Stock Incentive Plan S-1/A 333-220941 10/27/2017 10.6 10.7+ Form of Director and Officer Indemnification Agreement S-1/A 333-220941 10/27/2017 10.7 10.8† Patent License Agreement, dated as of March 28, 2008, by and between Apellis AG and The Trustees of the University of Pennsylvania, as assigned to the Registrant S-1 333-220941 10/13/2017 10.8 10.9† Amended and Restated Patent License Agreement, dated as of March 28, 2008, by and between Potentia Pharmaceuticals, Inc. and The Trustees of the University of Pennsylvania, as amended by the First Amendment to the Amended and Restated Patent License Agreement, dated as of October 14, 2009 and as assigned to the Registrant S-1 333-220941 10/13/2017 10.9 10.10† Office Lease Agreement, dated as of October 21, 2010, by and between the Registrant and DHB Properties, LLC, as amended S-1 333-220941 10/13/2017 10.1