Filing Details
- Accession Number:
- 0001626199-23-000128
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-12-06 19:31:13
- Reporting Period:
- 2023-12-04
- Accepted Time:
- 2023-12-06 19:31:13
- 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 |
|---|---|---|---|---|---|---|---|
| 1606243 | Paul James Rickey | C/O Alpine Immune Sciences, Inc. 188 East Blaine Street, Suite 200 Seattle WA 98102 | See Remarks | No | Yes | No | 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 | 2023-12-04 | 63,947 | $3.23 | 63,947 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-12-04 | 63,947 | $16.06 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2023-12-05 | 418 | $3.23 | 418 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-12-05 | 418 | $16.01 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2023-12-06 | 6,446 | $3.23 | 6,446 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-12-06 | 6,446 | $16.08 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to buy) | Disposition | 2023-12-04 | 63,947 | $0.00 | 63,947 | $3.23 |
| Common Stock | Stock Option (Right to buy) | Disposition | 2023-12-05 | 418 | $0.00 | 418 | $3.23 |
| Common Stock | Stock Option (Right to buy) | Disposition | 2023-12-06 | 6,446 | $0.00 | 6,446 | $3.23 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 26,364 | 2030-01-22 | No | 4 | M | Direct | |
| 25,946 | 2030-01-22 | No | 4 | M | Direct | |
| 19,500 | 2030-01-22 | No | 4 | M | Direct |
Footnotes
- The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 12, 2023.
- This transaction was executed in multiple trades at prices ranging from $16.00 to $16.26. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- This transaction was executed in multiple trades at prices ranging from $16.00 to $16.10. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- This transaction was executed in multiple trades at prices ranging from $16.00 to $16.15. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- Twenty-five percent (25%) of the shares subject to the Option shall vest on the one (1) year anniversary of January 23, 2020 (the "Vesting Commencement Date") and one forty-eighth (1/48th) of the shares subject to the Option shall vest each month thereafter on the same day of the month as the Vesting Commencement Date (and if there is no corresponding day, on the last day of the month), subject to the Reporting Person continuing to be a Service Provider through each such date.
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