ALPINE IMMUNE SCIENCES, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 13 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-11-04: Reporting owner Smith Cynthia; Form 3; Security Stock Option (Right to Buy); Transaction Holding.
- 2016-09-12: Reporting owner Flynn James E | DEERFIELD MANAGEMENT CO; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-09-12: Reporting owner SEKHRI PAUL J; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-09-12: Reporting owner TROHA JANICE; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-11-04 holding as of filing | Smith Cynthia Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $5.88 exercise price | 2016-11-04 | ||
| 2016-09-12 | Flynn James E | DEERFIELD MANAGEMENT CO Director, 10% Owner | Director, 10% Owner | 4 | Stock Option (right to buy) Derivative · Indirect · Through Deerfield Management Company, L.P. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,300 12,300 owned after | $7.77 exercise price | 2016-09-14 | |
| 2016-09-12 | SEKHRI PAUL J Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,300 12,300 owned after | $7.77 exercise price | 2016-09-14 | |
| 2016-09-12 | TROHA JANICE Officer (Exec Vice President / COO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +110,000 110,000 owned after | $7.77 exercise price | 2016-09-14 | |
| 2016-09-12 | Rodman David Malcom Officer (Exec Vice President and CMO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $7.77 exercise price | 2016-09-14 | |
| 2016-09-12 | MOORE JOHN R Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,300 12,300 owned after | $7.77 exercise price | 2016-09-14 | |
| 2016-09-12 | Loh Evan Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,300 12,300 owned after | $7.77 exercise price | 2016-09-14 | |
| 2016-09-12 | Furst Howard P. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,300 12,300 owned after | $7.77 exercise price | 2016-09-14 | |
| 2016-09-12 | CONWAY ROBERT E Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,300 12,300 owned after | $7.77 exercise price | 2016-09-14 | |
| 2016-09-12 | Congleton Jon Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 250,000 owned after | $7.77 exercise price | 2016-09-14 | |
| 2016-09-12 | Carruthers R Michael Officer (Exec Vice President / CFO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +110,000 110,000 owned after | $7.77 exercise price | 2016-09-14 | |
| 2016-04-22 holding as of filing | Rodman David Malcom Officer (See Remarks) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $4.68 exercise price | 2016-04-22 | ||
| 2016-03-02 holding as of filing | SEKHRI PAUL J Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $4.43 exercise price | 2016-03-02 |