James Topper - Apr 25, 2024 Form 4 Insider Report for ALPINE IMMUNE SCIENCES, INC. (ALPN)

Role
Director
Signature
/s/ Steve Bailey, Attorney-in-Fact for James N. Topper
Stock symbol
ALPN
Transactions as of
Apr 25, 2024
Transactions value $
-$27
Form type
4
Date filed
4/29/2024, 04:32 PM
Previous filing
Mar 28, 2024
Next filing
May 20, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ALPN Common Stock Exercise of in-the-money or at-the-money derivative security $1.2K +1.2M +73.65% $0.00* 2.83M Apr 25, 2024 By: Frazier Life Sciences VIII, L.P. F1
transaction ALPN Common Stock Sale -$1.23K -19 0% $64.57 2.83M Apr 25, 2024 By: Frazier Life Sciences VIII, L.P. 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) Exercise of in-the-money or at-the-money derivative security $0 -1.2M -100% $0.00* 0 Apr 25, 2024 Common Stock 1.2M $0.00 By: Frazier Life Sciences VIII, L.P. F1, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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 is one of two managing members of FHM LLC. Dr. Topper disclaims beneficial ownership of the securities held by FLS LP except for his pecuniary interest therein, if any.
F2 On April 25, 2024, Frazier Life Sciences VIII, L.P. exercised a warrant to purchase 1,200,000 shares of the Issuer's Common Stock at an exercise price of $0.001 per share. Frazier Life Sciences VIII, L.P. paid the exercise price on a cashless basis, resulting in the Issuer withholding 19 shares of Common Stock to pay the exercise price and issuing Frazier Life Sciences VIII, L.P. the remaining 1,199,981 shares of Common Stock.
F3 The warrant had no expiration date and was exercisable immediately.