Mitchell Gold - Jan 4, 2024 Form 4 Insider Report for ALPINE IMMUNE SCIENCES, INC. (ALPN)

Role: Executive Chairman and CEO, Director
Signature: /s/ James Paul Rickey, attorney-in-fact
Stock symbol: ALPN
Transactions as of: Jan 4, 2024
Transactions value $: $0
Form type: 4
Date filed: 1/5/2024, 06:08 PM
Previous filing: Dec 29, 2023
Next filing: May 10, 2024

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	ALPN	Common Stock	Award	$0	+96K		$0.00	96K	Jan 4, 2024	Direct	F1
holding	ALPN	Common Stock						2.63M	Jan 4, 2024	Alpine ImmunoSciences, L.P.	F2, F3

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	Stock Option (Right to buy)	Award	$0	+240K		$0.00	240K	Jan 4, 2024	Common Stock	240K	$18.33	Direct	F4, F5

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Received grant of restricted stock units ("RSUs") for no consideration. One-fourth (1/4th) of the RSUs will vest on January 1, 2025 and the remainder will vest in twelve (12) equal quarterly installments on April 1, 2025 July 1, 2025, October 1, 2025 and on January 1, April 1, July 1, and October 1 of each subsequent year until all RSUs are vested on January 1, 2028, subject to the Reporting Person continuing to be a Service Provider through each such date.
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 exercise price is equal to the closing price per share of Common Stock as reported on the Nasdaq Global Market on the date of grant.
F5	One-fourth (1/4th) of the Shares subject to the Option will vest on January 4, 2025, and one thirty-sixth (1/36th) of the remaining Shares subject to the Option shall vest each month thereafter, subject to the Reporting Person continuing to be a service provider through each such date.