ALPINE IMMUNE SCIENCES, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 30 rows, 30 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-06-23: Reporting owner DEERFIELD MANAGEMENT CO | Flynn James E | Deerfield Special Situations Fund, L.P. | Deerfield Mgmt L.P. | Deerfield Private Design International, L.P. | DEERFIELD PRIVATE DESIGN FUND L P | Deerfield Private Design International II, L.P. | Deerfield Private Design Fund II, L.P.; Form 4; Security Series 1 Preferred Stock; Transaction C Conversion of derivative security.
- 2015-06-23: Reporting owner DEERFIELD MANAGEMENT CO | Flynn James E | Deerfield Special Situations Fund, L.P. | Deerfield Mgmt L.P. | Deerfield Private Design International, L.P. | DEERFIELD PRIVATE DESIGN FUND L P | Deerfield Private Design International II, L.P. | Deerfield Private Design Fund II, L.P.; Form 4; Security Series 1 Preferred Stock; Transaction C Conversion of derivative security.
- 2015-06-23: Reporting owner DEERFIELD MANAGEMENT CO | Flynn James E | Deerfield Special Situations Fund, L.P. | Deerfield Mgmt L.P. | Deerfield Private Design International, L.P. | DEERFIELD PRIVATE DESIGN FUND L P | Deerfield Private Design International II, L.P. | Deerfield Private Design Fund II, L.P.; Form 4; Security Series 1 Preferred Stock; Transaction C Conversion of derivative security.
- 2015-06-23: Reporting owner DEERFIELD MANAGEMENT CO | Flynn James E | Deerfield Special Situations Fund, L.P. | Deerfield Mgmt L.P. | Deerfield Private Design International, L.P. | DEERFIELD PRIVATE DESIGN FUND L P | Deerfield Private Design International II, L.P. | Deerfield Private Design Fund II, L.P.; Form 4; Security Series 1 Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-06-23 | DEERFIELD MANAGEMENT CO | Flynn James E | Deerfield Special Situations Fund, L.P. | Deerfield Mgmt L.P. | Deerfield Private Design International, L.P. | DEERFIELD PRIVATE DESIGN FUND L P | Deerfield Private Design International II, L.P. | Deerfield Private Design Fund II, L.P. | | | | | | | | 4 | Series 1 Preferred Stock Derivative · Indirect · Through Deerfield Special Situations Fund, L.P. | C Conversion of derivative security | −2,013,613 0 owned after | no price filed | 2015-06-25 | |
| 2015-06-23 | DEERFIELD MANAGEMENT CO | Flynn James E | Deerfield Special Situations Fund, L.P. | Deerfield Mgmt L.P. | Deerfield Private Design International, L.P. | DEERFIELD PRIVATE DESIGN FUND L P | Deerfield Private Design International II, L.P. | Deerfield Private Design Fund II, L.P. | | | | | | | | 4 | Series 1 Preferred Stock Derivative · Indirect · Through Deerfield Private Design Fund, L.P. | C Conversion of derivative security | −869,667 0 owned after | no price filed | 2015-06-25 | |
| 2015-06-23 | DEERFIELD MANAGEMENT CO | Flynn James E | Deerfield Special Situations Fund, L.P. | Deerfield Mgmt L.P. | Deerfield Private Design International, L.P. | DEERFIELD PRIVATE DESIGN FUND L P | Deerfield Private Design International II, L.P. | Deerfield Private Design Fund II, L.P. | | | | | | | | 4 | Series 1 Preferred Stock Derivative · Indirect · Through Deerfield Private Design International, L.P. | C Conversion of derivative security | −1,401,003 0 owned after | no price filed | 2015-06-25 | |
| 2015-06-23 | DEERFIELD MANAGEMENT CO | Flynn James E | Deerfield Special Situations Fund, L.P. | Deerfield Mgmt L.P. | Deerfield Private Design International, L.P. | DEERFIELD PRIVATE DESIGN FUND L P | Deerfield Private Design International II, L.P. | Deerfield Private Design Fund II, L.P. | | | | | | | | 4 | Series 1 Preferred Stock Derivative · Indirect · Through Deerfield Private Design Fund II, L.P. | C Conversion of derivative security | −1,085,085 0 owned after | no price filed | 2015-06-25 | |
| 2015-06-23 | DEERFIELD MANAGEMENT CO | Flynn James E | Deerfield Special Situations Fund, L.P. | Deerfield Mgmt L.P. | Deerfield Private Design International, L.P. | DEERFIELD PRIVATE DESIGN FUND L P | Deerfield Private Design International II, L.P. | Deerfield Private Design Fund II, L.P. | | | | | | | | 4 | Series 1 Preferred Stock Derivative · Indirect · Through Deerfield Private Design International II, L.P. | C Conversion of derivative security | −1,243,423 0 owned after | no price filed | 2015-06-25 | |
| 2015-06-23 | DEERFIELD MANAGEMENT CO | Flynn James E | Deerfield Special Situations Fund, L.P. | Deerfield Mgmt L.P. | Deerfield Private Design International, L.P. | DEERFIELD PRIVATE DESIGN FUND L P | Deerfield Private Design International II, L.P. | Deerfield Private Design Fund II, L.P. | | | | | | | | 4 | Series 2 Preferred Stock Derivative · Indirect · Through Deerfield Special Situations Fund, L.P. | C Conversion of derivative security | −385,962 0 owned after | no price filed | 2015-06-25 | |
| 2015-06-23 | DEERFIELD MANAGEMENT CO | Flynn James E | Deerfield Special Situations Fund, L.P. | Deerfield Mgmt L.P. | Deerfield Private Design International, L.P. | DEERFIELD PRIVATE DESIGN FUND L P | Deerfield Private Design International II, L.P. | Deerfield Private Design Fund II, L.P. | | | | | | | | 4 | Series 2 Preferred Stock Derivative · Indirect · Through Deerfield Private Design Fund, L.P. | C Conversion of derivative security | −54,385 0 owned after | no price filed | 2015-06-25 | |
| 2015-06-23 | DEERFIELD MANAGEMENT CO | Flynn James E | Deerfield Special Situations Fund, L.P. | Deerfield Mgmt L.P. | Deerfield Private Design International, L.P. | DEERFIELD PRIVATE DESIGN FUND L P | Deerfield Private Design International II, L.P. | Deerfield Private Design Fund II, L.P. | | | | | | | | 4 | Series 2 Preferred Stock Derivative · Indirect · Through Deerfield Private Design International, L.P. | C Conversion of derivative security | −85,962 0 owned after | no price filed | 2015-06-25 | |
| 2015-06-23 | DEERFIELD MANAGEMENT CO | Flynn James E | Deerfield Special Situations Fund, L.P. | Deerfield Mgmt L.P. | Deerfield Private Design International, L.P. | DEERFIELD PRIVATE DESIGN FUND L P | Deerfield Private Design International II, L.P. | Deerfield Private Design Fund II, L.P. | | | | | | | | 4 | Series 2 Preferred Stock Derivative · Indirect · Through Deerfield Private Design Fund II, L.P. | C Conversion of derivative security | −817,541 0 owned after | no price filed | 2015-06-25 | |
| 2015-06-23 | DEERFIELD MANAGEMENT CO | Flynn James E | Deerfield Special Situations Fund, L.P. | Deerfield Mgmt L.P. | Deerfield Private Design International, L.P. | DEERFIELD PRIVATE DESIGN FUND L P | Deerfield Private Design International II, L.P. | Deerfield Private Design Fund II, L.P. | | | | | | | | 4 | Series 2 Preferred Stock Derivative · Indirect · Through Deerfield Private Design International II, L.P. | C Conversion of derivative security | −936,839 0 owned after | no price filed | 2015-06-25 | |
| 2015-06-22 | Rock Springs Capital Management LP 10% Owner | 4 | Series 2 Convertible Preferred Stock Derivative · Indirect · By Rock Springs Capital Master Fund LP | C Conversion of derivative security | −364,358 0 owned after | $2.85 exercise price | 2015-06-24 | |
| 2015-06-22 | Hawkes Bay Master Investors (Cayman) L.P. 10% Owner | 4 | Series 2 convertible preferred stock Derivative · Direct | C Conversion of derivative security | −818,714 0 owned after | $0.00 | 2015-06-23 | |
| 2015-06-22 | Hadley Harbor Master Investors (Cayman) L.P. 10% Owner | 4 | Series 2 convertible preferred stock Derivative · Direct | C Conversion of derivative security | −1,052,631 0 owned after | $0.00 | 2015-06-23 | |
| 2015-06-22 | Jennison Global Healthcare Master Fund, Ltd. 10% Owner | 4 | Series 2 convertible preferred stock Derivative · Direct | C Conversion of derivative security | −303,631 0 owned after | $14.00 exercise price | 2015-06-22 | |
| 2015-06-22 | Estate of Arnold H. Snider, III 10% Owner | 4 | Series 1 convertible preferred stock Derivative · Direct | C Conversion of derivative security | −2,200,404 0 owned after | $0.00 | 2015-06-22 | |
| 2015-06-17 holding as of filing | Rock Springs Capital Management LP 10% Owner | 3 | Series 2 Convertible Preferred Stock Derivative · Indirect · By Rock Springs Capital Master Fund LP | Holding | $2.85 exercise price | 2015-06-17 | ||
| 2015-06-17 holding as of filing | Estate of Arnold H. Snider, III 10% Owner | 3 | Series 1 convertible preferred stock Derivative · Direct | Holding | no price filed | 2015-06-17 | ||
| 2015-06-17 holding as of filing | Jennison Global Healthcare Master Fund, Ltd. 10% Owner | 3 | Series 2 convertible preferred stock Derivative · Direct | Holding | no price filed | 2015-06-17 | ||
| 2015-06-16 holding as of filing | DEERFIELD PRIVATE DESIGN FUND L P | Deerfield Private Design Fund II, L.P. | Deerfield Private Design International II, Ltd. | Deerfield Private Design International, L.P. | Flynn James E | Deerfield Special Situations Fund, L.P. | Deerfield Mgmt L.P. | DEERFIELD MANAGEMENT CO | | 10% Owner | | | 10% Owner | | | 3 | Series 1 Convertible Preferred Stock Derivative · Indirect · Through Deerfield Private Design Fund, L.P. | Holding | no price filed | 2015-06-16 | ||
| 2015-06-16 holding as of filing | DEERFIELD PRIVATE DESIGN FUND L P | Deerfield Private Design Fund II, L.P. | Deerfield Private Design International II, Ltd. | Deerfield Private Design International, L.P. | Flynn James E | Deerfield Special Situations Fund, L.P. | Deerfield Mgmt L.P. | DEERFIELD MANAGEMENT CO | | 10% Owner | | | 10% Owner | | | 3 | Series 1 Convertible Preferred Stock Derivative · Indirect · Through Deerfield Private Design International, L.P. | Holding | no price filed | 2015-06-16 | ||
| 2015-06-16 holding as of filing | DEERFIELD PRIVATE DESIGN FUND L P | Deerfield Private Design Fund II, L.P. | Deerfield Private Design International II, Ltd. | Deerfield Private Design International, L.P. | Flynn James E | Deerfield Special Situations Fund, L.P. | Deerfield Mgmt L.P. | DEERFIELD MANAGEMENT CO | | 10% Owner | | | 10% Owner | | | 3 | Series 1 Convertible Preferred Stock Derivative · Indirect · Through Deerfield Private Design Fund II, L.P. | Holding | no price filed | 2015-06-16 | ||
| 2015-06-16 holding as of filing | DEERFIELD PRIVATE DESIGN FUND L P | Deerfield Private Design Fund II, L.P. | Deerfield Private Design International II, Ltd. | Deerfield Private Design International, L.P. | Flynn James E | Deerfield Special Situations Fund, L.P. | Deerfield Mgmt L.P. | DEERFIELD MANAGEMENT CO | | 10% Owner | | | 10% Owner | | | 3 | Series 1 Convertible Preferred Stock Derivative · Indirect · Through Deerfield Private Design International II, L.P. | Holding | no price filed | 2015-06-16 | ||
| 2015-06-16 holding as of filing | DEERFIELD PRIVATE DESIGN FUND L P | Deerfield Private Design Fund II, L.P. | Deerfield Private Design International II, Ltd. | Deerfield Private Design International, L.P. | Flynn James E | Deerfield Special Situations Fund, L.P. | Deerfield Mgmt L.P. | DEERFIELD MANAGEMENT CO | | 10% Owner | | | 10% Owner | | | 3 | Series 1 Convertible Preferred Stock Derivative · Indirect · Through Deerfield Special Situations Fund, L.P. | Holding | no price filed | 2015-06-16 | ||
| 2015-06-16 holding as of filing | DEERFIELD PRIVATE DESIGN FUND L P | Deerfield Private Design Fund II, L.P. | Deerfield Private Design International II, Ltd. | Deerfield Private Design International, L.P. | Flynn James E | Deerfield Special Situations Fund, L.P. | Deerfield Mgmt L.P. | DEERFIELD MANAGEMENT CO | | 10% Owner | | | 10% Owner | | | 3 | Series 2 Convertible Preferred Stock Derivative · Indirect · Through Deerfield Private Design Fund, L.P. | Holding | no price filed | 2015-06-16 | ||
| 2015-06-16 holding as of filing | DEERFIELD PRIVATE DESIGN FUND L P | Deerfield Private Design Fund II, L.P. | Deerfield Private Design International II, Ltd. | Deerfield Private Design International, L.P. | Flynn James E | Deerfield Special Situations Fund, L.P. | Deerfield Mgmt L.P. | DEERFIELD MANAGEMENT CO | | 10% Owner | | | 10% Owner | | | 3 | Series 2 Convertible Preferred Stock Derivative · Indirect · Through Deerfield Private Design International, L.P. | Holding | no price filed | 2015-06-16 | ||
| 2015-06-16 holding as of filing | DEERFIELD PRIVATE DESIGN FUND L P | Deerfield Private Design Fund II, L.P. | Deerfield Private Design International II, Ltd. | Deerfield Private Design International, L.P. | Flynn James E | Deerfield Special Situations Fund, L.P. | Deerfield Mgmt L.P. | DEERFIELD MANAGEMENT CO | | 10% Owner | | | 10% Owner | | | 3 | Series 2 Convertible Preferred Stock Derivative · Indirect · Through Deerfield Private Design Fund II, L.P. | Holding | no price filed | 2015-06-16 | ||
| 2015-06-16 holding as of filing | DEERFIELD PRIVATE DESIGN FUND L P | Deerfield Private Design Fund II, L.P. | Deerfield Private Design International II, Ltd. | Deerfield Private Design International, L.P. | Flynn James E | Deerfield Special Situations Fund, L.P. | Deerfield Mgmt L.P. | DEERFIELD MANAGEMENT CO | | 10% Owner | | | 10% Owner | | | 3 | Series 2 Convertible Preferred Stock Derivative · Indirect · Through Deerfield Private Design International II, L.P. | Holding | no price filed | 2015-06-16 | ||
| 2015-06-16 holding as of filing | DEERFIELD PRIVATE DESIGN FUND L P | Deerfield Private Design Fund II, L.P. | Deerfield Private Design International II, Ltd. | Deerfield Private Design International, L.P. | Flynn James E | Deerfield Special Situations Fund, L.P. | Deerfield Mgmt L.P. | DEERFIELD MANAGEMENT CO | | 10% Owner | | | 10% Owner | | | 3 | Series 2 Convertible Preferred Stock Derivative · Indirect · Through Deerfield Special Situations Fund, L.P. | Holding | no price filed | 2015-06-16 | ||
| 2015-06-16 holding as of filing | Hawkes Bay Master Investors (Cayman) L.P. 10% Owner | 3 | Series 2 convertible preferred stock Derivative · Direct | Holding | no price filed | 2015-06-16 | ||
| 2015-06-16 holding as of filing | Hadley Harbor Master Investors (Cayman) L.P. 10% Owner | 3 | Series 2 convertible preferred stock Derivative · Direct | Holding | no price filed | 2015-06-16 |