| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | ALPN | Common Stock | Options Exercise | $1.54K | +236 | $6.51 | 236 | Jan 25, 2024 | Direct | F1 | |
| transaction | ALPN | Common Stock | Sale | -$5.19K | -236 | -100% | $22.00 | 0 | Jan 25, 2024 | Direct | F1 |
| transaction | ALPN | Common Stock | Options Exercise | $480K | +73.8K | $6.51 | 73.8K | Jan 26, 2024 | Direct | F1 | |
| transaction | ALPN | Common Stock | Sale | -$1.65M | -73.8K | -100% | $22.31 | 0 | Jan 26, 2024 | Direct | F1, F2 |
| transaction | ALPN | Common Stock | Options Exercise | $498K | +44K | $11.31 | 44K | Jan 26, 2024 | Direct | F1 | |
| transaction | ALPN | Common Stock | Sale | -$1.1M | -44K | -100% | $25.00 | 0 | Jan 26, 2024 | Direct | F1 |
| 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 | -236 | -0.31% | $0.00 | 74.8K | Jan 25, 2024 | Common Stock | 236 | $6.51 | Direct | F1, F3, F4 |
| transaction | ALPN | Stock Option (Right to buy) | Options Exercise | $0 | -73.8K | -98.66% | $0.00 | 1K | Jan 26, 2024 | Common Stock | 73.8K | $6.51 | Direct | F1, F3, F4 |
| transaction | ALPN | Stock Option (Right to buy) | Options Exercise | $0 | -44K | -97.78% | $0.00 | 1K | Jan 26, 2024 | Common Stock | 44K | $11.31 | Direct | F1, F3, 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 | This transaction reported in this Form 4 were effected pursuant to 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 $22.00 to $22.90. 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 | 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. |
| F4 | 100% of the shares underlying the option were fully vested as of February 6, 2023. |
| F5 | 100% of the shares underlying the option were fully vested as of January 2, 2022. |
Senior Vice President, Chief Financial Officer and Corporate Secretary