| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | ALPN | Common Stock | Options Exercise | $207K | +63.9K | $3.23 | 63.9K | Dec 4, 2023 | Direct | F1 | |
| transaction | ALPN | Common Stock | Sale | -$1.03M | -63.9K | -100% | $16.06 | 0 | Dec 4, 2023 | Direct | F1, F2 |
| transaction | ALPN | Common Stock | Options Exercise | $1.35K | +418 | $3.23 | 418 | Dec 5, 2023 | Direct | F1 | |
| transaction | ALPN | Common Stock | Sale | -$6.69K | -418 | -100% | $16.01 | 0 | Dec 5, 2023 | Direct | F1, F3 |
| transaction | ALPN | Common Stock | Options Exercise | $20.8K | +6.45K | $3.23 | 6.45K | Dec 6, 2023 | Direct | F1 | |
| transaction | ALPN | Common Stock | Sale | -$104K | -6.45K | -100% | $16.08 | 0 | Dec 6, 2023 | Direct | F1, F4 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | ALPN | Stock Option (Right to buy) | Options Exercise | $0 | -63.9K | -70.81% | $0.00 | 26.4K | Dec 4, 2023 | Common Stock | 63.9K | $3.23 | Direct | F1, F5 |
| transaction | ALPN | Stock Option (Right to buy) | Options Exercise | $0 | -418 | -1.59% | $0.00 | 25.9K | Dec 5, 2023 | Common Stock | 418 | $3.23 | Direct | F1, F5 |
| transaction | ALPN | Stock Option (Right to buy) | Options Exercise | $0 | -6.45K | -24.84% | $0.00 | 19.5K | Dec 6, 2023 | Common Stock | 6.45K | $3.23 | Direct | F1, F5 |
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
| Id | Content |
|---|---|
| F1 | The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 12, 2023. |
| F2 | This transaction was executed in multiple trades at prices ranging from $16.00 to $16.26. 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 | This transaction was executed in multiple trades at prices ranging from $16.00 to $16.10. 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. |
| F4 | This transaction was executed in multiple trades at prices ranging from $16.00 to $16.15. The price reported above reflects the weighted average sales 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. |
| F5 | Twenty-five percent (25%) of the shares subject to the Option shall vest on the one (1) year anniversary of January 23, 2020 (the "Vesting Commencement Date") and one forty-eighth (1/48th) of the shares subject to the Option shall vest each month thereafter on the same day of the month as the Vesting Commencement Date (and if there is no corresponding day, on the last day of the month), subject to the Reporting Person continuing to be a Service Provider through each such date. |
Senior Vice President, Chief Financial Officer and Corporate Secretary