Frazier Life Sciences VIII, L.P. - Sep 17, 2021 Form 4 Insider Report for ALPINE IMMUNE SCIENCES, INC. (ALPN)

Role
10%+ Owner
Signature
Frazier Life Sciences VIII, L.P. By: FHM Life Sciences VIII, L.P., its general partner, By FHM Life Sciences VIII, L.L.C., its general partner, By: /s/ Steve Bailey, Chief Financial Officer
Stock symbol
ALPN
Transactions as of
Sep 17, 2021
Transactions value $
$0
Form type
4
Date filed
9/21/2021, 01:54 PM
Previous filing
May 12, 2021
Next filing
Feb 15, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ALPN Common Stock Disposed to Issuer -1.2M -46.67% 1.37M Sep 17, 2021 Direct F1, F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction ALPN Warrant (Right to Buy) Award $0 +1.2M $0.00 1.2M Sep 17, 2021 Common Stock 1.2M $0.00 Direct F2, F3, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Frazier Life Sciences VIII, L.P. is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

Explanation of Responses:

Id Content
F1 Frazier Life Sciences VIII, L.P. entered into an Exchange Agreement with the Issuer pursuant to which, Frazier Life Sciences VIII, L.P. exchanged, on a 1:1 basis, 1,200,000 shares of the Issuer's Common Stock for a prefunded warrant to purchase 1,200,000 shares of the Issuer's Common Stock at an exercise price of $0.001 per share (the "Pre-Funded Warrant").
F2 The reportable securities are held directly by Frazier Life Sciences VIII, L.P. ("FLS LP"). FHM Life Sciences VIII, L.P. ("FHM LP") is the general partner of FLS LP. FHM Life Sciences VIII, L.L.C. ("FHM LLC") is the general partner of FHM LP. James N. Topper and Patrick J. Heron are the sole managing members of FHM LLC. Mr. Topper, Mr. Heron, FHM LP and FHM LLC disclaims beneficial ownership of the securities held by FLS LP except, to the extent of his or its pecuniary interest therein, if any.
F3 The Pre-Funded Warrant has no expiration date and is exercisable immediately. Notwithstanding the foregoing, the Reporting Person shall not be entitled to exercise the Pre-Funded Warrant if it would cause (i) the aggregate number of shares of Common Stock beneficially owned by the Reporting Person, its affiliates and any persons who are members of a Section 13(d) group with the Reporting Person or its affiliates to exceed 9.99% (the "Maximum Percentage") of the total number of issued and outstanding shares of Common Stock of the Issuer following such exercise, or (ii) the combined voting power of the securities of the Issuer beneficially owned by the Reporting Person and its affiliates and any other persons who are members of a Section 13(d) group with the Reporting Person or its affiliates to exceed the Maximum Percentage of the combined voting power of all of the securities of the Issuer then outstanding following such exercise.
F4 The Maximum Percentage can be changed by the holder upon 61 days notice to the Issuer.