Mitchell Gold - Sep 15, 2021 Form 4 Insider Report for ALPINE IMMUNE SCIENCES, INC. (ALPN)

Role
Executive Chairman and CEO, Director, 10%+ Owner
Signature
/s/ James Paul Rickey, attorney-in-fact
Stock symbol
ALPN
Transactions as of
Sep 15, 2021
Transactions value $
-$102,536
Form type
4
Date filed
9/17/2021, 06:06 PM
Previous filing
Jun 29, 2021
Next filing
Sep 21, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ALPN Common Stock Sale -$34.8K -3.48K -2.11% $10.00 161K Sep 15, 2021 Direct F1
transaction ALPN Common Stock Sale -$67.7K -6.77K -4.19% $10.00 155K Sep 16, 2021 Direct F1, F2
holding ALPN Common Stock 3M Sep 15, 2021 By Alpine ImmunoSciences, L.P. F3, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 30, 2020.
F2 This transaction was executed in multiple trades at prices ranging from $10.00 to $10.02. 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.
F3 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.
F4 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.