4//SEC Filing
GOLD MITCHELL 4
Accession 0001626199-23-000149
CIK 0001626199other
Filed
Dec 28, 7:00 PM ET
Accepted
Dec 29, 7:32 PM ET
Size
16.5 KB
Accession
0001626199-23-000149
Insider Transaction Report
Form 4
GOLD MITCHELL
DirectorExecutive Chairman and CEO10% Owner
Transactions
- Exercise/Conversion
Common Stock
2023-12-28$12.74/sh+74,441$948,378→ 2,675,421 total(indirect: Alpine ImmunoSciences, L.P.) - Exercise/Conversion
Common Stock
2023-12-28$0.65/sh+1,016$660→ 1,016 total - Exercise/Conversion
Warrant (right to buy)
2023-12-28−74,441→ 0 total(indirect: Alpine ImmunoSciences, L.P.)Exercise: $12.74From: 2019-01-18Exp: 2024-01-18→ Common Stock (74,441 underlying) - Sale
Common Stock
2023-12-28$20.04/sh−1,016$20,362→ 0 total - Tax Payment
Common Stock
2023-12-28$19.65/sh−48,264$948,388→ 2,627,157 total(indirect: Alpine ImmunoSciences, L.P.) - Exercise/Conversion
Stock Option (Right to buy)
2023-12-28−1,016→ 247,951 totalExercise: $0.65Exp: 2027-03-13→ Common Stock (1,016 underlying)
Footnotes (8)
- [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.
- [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.
- [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.
- [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.
- [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
- [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).
- [F7]100% of the shares underlying the option were fully vested as of January 20, 2021.
- [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.
Documents
Issuer
ALPINE IMMUNE SCIENCES, INC.
CIK 0001626199
Entity typeother
Related Parties
1- filerCIK 0001242882
Filing Metadata
- Form type
- 4
- Filed
- Dec 28, 7:00 PM ET
- Accepted
- Dec 29, 7:32 PM ET
- Size
- 16.5 KB