Filing Details

Accession Number:
0000947871-19-000044
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-01-23 18:01:08
Reporting Period:
2019-01-18
Accepted Time:
2019-01-23 18:01:08
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1626199 Alpine Immune Sciences Inc. ALPN () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1357522 A. Peter Thompson C/O Alpine Immune Sciences, Inc. (Alpn)
201 Elliot Avenue West, Suite 230
Seattle WA 98119
Yes No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2019-01-18 372,439 $5.37 3,670,955 No 4 P Indirect See Footnotes
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See Footnotes
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Warrants to Purchase Common Stock Acquisiton 2019-01-18 145,251 $0.00 145,251 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
145,251 2024-01-18 No 4 P Indirect
Footnotes
  1. These shares of the Issuer's common stock ("Shares") were purchased in a block order at a price of $5.37.
  2. These securities are held of record by OrbiMed Private Investments VI, LP ("OPI VI"). OrbiMed Capital GP VI LLC ("GP VI") is the sole general partner of OPI VI, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of GP VI. By virtue of such relationships, GP VI and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI VI noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Advisors exercised this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the Shares held by OPI VI. The Reporting Person is an employee of Advisors.
  3. Warrants ("Warrants") to purchase Shares. The Warrants are immediately exercisable for five years from the date of issuance and have an exercise price of $12.74 per Share.
  4. Each of the Reporting Person, GP VI and Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) of the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.