Jay Venkatesan - Sep 17, 2021 Form 4 Insider Report for ALPINE IMMUNE SCIENCES, INC. (ALPN)

Role
Director, 10%+ Owner
Signature
/s/ James Paul Rickey, attorney-in-fact
Stock symbol
ALPN
Transactions as of
Sep 17, 2021
Transactions value $
-$3,760,000
Form type
4
Date filed
9/21/2021, 05:14 PM
Previous filing
Dec 17, 2021
Next filing
Dec 20, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ALPN Common Stock Sale -$3.76M -400K -13.33% $9.40 2.6M Sep 17, 2021 By Alpine ImmunoSciences, L.P. F1, F2, F3
holding ALPN Common Stock 18.6K Sep 17, 2021 By Raj Venkatesan as UTMA custodian for Reid Coleman Venkatesan F2, F4
holding ALPN Common Stock 218K Sep 17, 2021 Direct
holding ALPN Common Stock 18.6K Sep 17, 2021 By Raj Venkatesan as UTMA custodian for Nathaniel Graham Venkatesan F2, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These shares were sold in a private transaction to an investor in the Issuer simultaneously with the closing of the Issuer's private placement on September 17, 2021.
F2 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 the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
F3 Alpine BioVentures GP, LLC is the general partner of Alpine ImmunoSciences, L.P. Dr. Venkatesan is a Managing Partner of Alpine BioVenture GP, LLC. Dr. Venkatesan is also a limited partner of Alpine ImmunoSciences, L.P. By virtue of such relationships, Dr. Venkatesan 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 These shares are held by Raj Venkatesan as custodian for Reporting Person's sons under the California Uniform Transfers to Minors Act.