Key facts
- This page summarizes Mitchell Gold's Form 4 filing for ALPINE IMMUNE SCIENCES, INC..
- 6 reported transactions and 2 derivative rows are listed below.
- Accepted by SEC: 29 Dec 2023, 19:32.
Mitchell Gold - 28 Dec 2023 Form 4 Insider Report for ALPINE IMMUNE SCIENCES, INC.
- Reporting relationship
- Executive Chairman and CEO, Director
- Issuer ticker
- N/A
- Reported as of
- 28 Dec 2023
- Net transaction value
- -$19,711
- SEC form
- 4
- Accepted by SEC
- 29 Dec 2023, 19:32:15 UTC
- Prior SEC filing
- 27 Dec 2023
- Next SEC filing
- 05 Jan 2024
- Source filing
- View source filing
- Reporting owner signature
- /s/ Mitchell Gold
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Mitchell Gold filed Form 4 for ALPINE IMMUNE SCIENCES, INC. on 29 Dec 2023.
Change
- Previous filing in this sequence was filed on 27 Dec 2023.
- Current net transaction value: -$19,711.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
ALPN
transaction
Common Stock
Options Exercise
- Transaction value
- $660
- Shares
- +1,016
- Change %
- Price
- $0.6500*
- Shares after
- 1,016
- Date
- 28 Dec 2023
- Ownership
- Direct
- Footnotes
- F1
ALPN
transaction
Common Stock
Sale
- Transaction value
- $20,362
- Shares
- -1,016
- Change %
- -100%
- Price
- $20.04
- Shares after
- 0
- Date
- 28 Dec 2023
- Ownership
- Direct
- Footnotes
- F1, F2
ALPN
transaction
Common Stock
Options Exercise
- Transaction value
- $948,378
- Shares
- +74,441
- Change %
- +2.9%
- Price
- $12.74
- Shares after
- 2,675,421
- Date
- 28 Dec 2023
- Ownership
- Alpine ImmunoSciences, L.P.
- Footnotes
- F3, F4
ALPN
transaction
Common Stock
Tax liability
- Transaction value
- $948,388
- Shares
- -48,264
- Change %
- -1.8%
- Price
- $19.65
- Shares after
- 2,627,157
- Date
- 28 Dec 2023
- Ownership
- Alpine ImmunoSciences, L.P.
- Footnotes
- F3, F4, F5, F6
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
ALPN
transaction
Derivative
Stock Option (Right to buy)
Options Exercise
- Transaction value
- $0
- Shares
- -1,016
- Change %
- -0.41%
- Price
- $0.000000
- Shares after
- 247,951
- Date
- 28 Dec 2023
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 1,016
- Exercise price
- $0.6500
- Footnotes
- F1, F7
ALPN
transaction
Derivative
Warrant (right to buy)
Options Exercise
- Transaction value
- $0
- Shares
- -74,441
- Change %
- -100%
- Price
- $0.000000*
- Shares after
- 0
- Date
- 28 Dec 2023
- Ownership
- Alpine ImmunoSciences, L.P.
- Underlying class
- Common Stock
- Underlying amount
- 74,441
- Exercise price
- $12.74
- Footnotes
- F3, F4, F8
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Rule 10b5-1 trading plan
These transactions were reported as open-market trades under a Rule 10b5-1 plan. The plan lets an insider set trading instructions in advance, which can reduce the risk of trading while in possession of material nonpublic information.
Original filing language: transaction made pursuant to a contract, instruction, or written plan intended to satisfy Rule 10b5-1(c).
Explanation of responses 8 footnotes
Footnote F1
The transactions reported in this line were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting persons on March 30, 2023.
Footnote F2
This transaction was executed in multiple trades at prices ranging from $20.00 to $20.115. 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.
Footnote F3
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.
Footnote F4
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.
Footnote F5
On December 28, 2023, the warrant reported herein was net exercised in full for $12.74 per share, resulting in Issuer's withholding of 48,264 shares to pay the exercise price and issuing to the reporting person the remaining 26,177 shares
Footnote F6
Represents the average closing price of Issuer's common stock for the five consecutive trading days ending on December 27, 2023 (the date immediately preceding the warrant exercise date).
Footnote F7
100% of the shares underlying the option were fully vested as of January 20, 2021.
Footnote F8
Pursuant to the terms of a Securities Purchase Agreement, dated January 15, 2019 by and among the Issuer and the Purchasers set forth on the signature pages thereto, holder purchased common stock units for $5.37 per common stock unit. Each common stock unit consisted of one share of the Company's Common Stock and a warrant to purchase 0.39 shares of the Company's Common Stock.