Filing Details
- Accession Number:
- 0001626199-23-000147
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-12-27 21:07:56
- Reporting Period:
- 2023-12-22
- Accepted Time:
- 2023-12-27 21:07:56
- 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 |
|---|---|---|---|---|---|---|---|
| 1242882 | Mitchell Gold | C/O Alpine Immune Sciences, Inc. 188 East Blaine Street, Suite 200 Seattle WA 98102 | Executive Chairman And Ceo | Yes | 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 | 2023-12-22 | 37,825 | $0.45 | 37,825 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-12-22 | 37,825 | $20.43 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2023-12-26 | 2,402 | $0.45 | 2,402 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2023-12-26 | 22,084 | $0.65 | 24,486 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-12-26 | 24,486 | $20.22 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2023-12-27 | 29,573 | $0.65 | 29,573 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-12-27 | 29,573 | $20.04 | 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 | 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 | 2023-12-22 | 37,825 | $0.00 | 37,825 | $0.45 |
| Common Stock | Stock Option (Right to buy) | Disposition | 2023-12-26 | 2,402 | $0.00 | 2,402 | $0.45 |
| Common Stock | Stock Option (Right to buy) | Disposition | 2023-12-26 | 22,084 | $0.00 | 22,084 | $0.65 |
| Common Stock | Stock Option (Right to buy) | Disposition | 2023-12-27 | 29,573 | $0.00 | 29,573 | $0.65 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 2,402 | 2025-12-15 | No | 4 | M | Direct | |
| 0 | 2025-12-15 | No | 4 | M | Direct | |
| 278,540 | 2027-03-13 | No | 4 | M | Direct | |
| 248,967 | 2027-03-13 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 2,600,980 | Indirect | Alpine ImmunoSciences, L.P. |
Footnotes
- The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting persons on March 30, 2023.
- This transaction was executed in multiple trades at prices ranging from $20.00 to $20.87. 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.
- This transaction was executed in multiple trades at prices ranging from $20.00 to $20.51. 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.
- This transaction was executed in multiple trades at prices ranging from $20.00 to $20.37. 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.
- Alpine BioVentures GP, LLC is the general partner of Alpine ImmunoSciences, L.P. Dr. Gold is a Managing Partner of Alpine BioVentures GP, LLC. Dr. Gold is also a limited partner of Alpine ImmunoSciences, L.P. By virtue of such relationships, Dr. Gold may be deemed to have voting and investment power with respect to the shares held by Alpine ImmunoSciences, L.P. and as a result may be deemed to have beneficial ownership of such shares.
- The Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- 100% of the shares underlying the option were fully vested as of January 16, 2019.
- 100% of the shares underlying the option were fully vested as of January 20, 2021.
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