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Filing Details

Accession Number:: 0001626199-23-000149
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2023-12-29 19:32:15
Reporting Period:: 2023-12-28

Accepted Time:: 2023-12-29 19:32:15
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

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2023-12-28	1,016	$0.65	1,016	No	4	M	Direct
Common Stock	Disposition	2023-12-28	1,016	$20.04	0	No	4	S	Direct
Common Stock	Acquisiton	2023-12-28	74,441	$12.74	2,675,421	No	4	M	Indirect	Alpine ImmunoSciences, L.P.
Common Stock	Disposition	2023-12-28	48,264	$19.65	2,627,157	No	4	F	Indirect	Alpine ImmunoSciences, L.P.

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Direct
No	4	S	Direct
No	4	M	Indirect	Alpine ImmunoSciences, L.P.
No	4	F	Indirect	Alpine ImmunoSciences, L.P.

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option (Right to buy)	Disposition	2023-12-28	1,016	$0.00	1,016	$0.65
Common Stock	Warrant (right to buy)	Disposition	2023-12-28	74,441	$0.00	74,441	$12.74

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
247,951		2027-03-13	No	4	M	Direct
0	2019-01-18	2024-01-18	No	4	M	Indirect

Footnotes

The transactions reported in this line 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 $20.115. 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.
On December 28, 2023, the warrant reported herein was net exercised in full for $12.74 per share, resulting in Issuer's withholding of 48,264 shares to pay the exercise price and issuing to the reporting person the remaining 26,177 shares
Represents the average closing price of Issuer's common stock for the five consecutive trading days ending on December 27, 2023 (the date immediately preceding the warrant exercise date).
100% of the shares underlying the option were fully vested as of January 20, 2021.
Pursuant to the terms of a Securities Purchase Agreement, dated January 15, 2019 by and among the Issuer and the Purchasers set forth on the signature pages thereto, holder purchased common stock units for $5.37 per common stock unit. Each common stock unit consisted of one share of the Company's Common Stock and a warrant to purchase 0.39 shares of the Company's Common Stock.