Mitchell Gold - May 8, 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
May 8, 2024
Transactions value $
$100,000
Form type
4
Date filed
5/10/2024, 07:24 PM
Previous filing
Jan 5, 2024
Next filing
May 20, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ALPN Common Stock Options Exercise $100K +13.2K +13.8% $7.55 109K May 8, 2024 Direct F1
holding ALPN Common Stock 2.63M May 8, 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) Options Exercise $0 -13.2K -3.78% $0.00 337K May 8, 2024 Common Stock 13.2K $7.55 Direct F4, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes 96,000 shares of common stock underlying a restricted stock unit grant made on January 4, 2024.
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, 2024, 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.