| 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 |
| transaction | ALPN | Common Stock | Sale | -$453K | -45.3K | -29.27% | $10.01 | 109K | Sep 17, 2021 | Direct | F4, F5 |
| 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 | 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. |
| F3 | 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. |
| F4 | The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 30, 2020. |
| F5 | This transaction was executed in multiple trades at prices ranging from $10.00 to $10.05. 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. |