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: 9 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-07-24: Reporting owner GOLD MITCHELL; Form 4; Security Employee Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-07-24: Reporting owner GOLD MITCHELL; Form 4; Security Employee Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-07-24: Reporting owner GOLD MITCHELL; Form 4; Security Employee Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-07-24: Reporting owner PENG STANFORD L; Form 4; Security Employee 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 |
|---|---|---|---|---|---|---|---|---|
| 2017-07-24 | GOLD MITCHELL Director, Officer (Executive Chairman and CEO), 10% Owner | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +51,242 51,242 owned after | $0.45 exercise price | 2017-07-26 | |
| 2017-07-24 | GOLD MITCHELL Director, Officer (Executive Chairman and CEO), 10% Owner | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,624 300,624 owned after | $0.65 exercise price | 2017-07-26 | |
| 2017-07-24 | GOLD MITCHELL Director, Officer (Executive Chairman and CEO), 10% Owner | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +208,916 208,916 owned after | $5.02 exercise price | 2017-07-26 | |
| 2017-07-24 | PENG STANFORD L Officer (See Remarks) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +161,492 161,492 owned after | $0.65 exercise price | 2017-07-26 | |
| 2017-07-24 | PENG STANFORD L Officer (See Remarks) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +37,267 37,267 owned after | $0.65 exercise price | 2017-07-26 | |
| 2017-07-24 | Rickey James Paul Officer (Senior VP and CFO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +74,535 74,535 owned after | $5.02 exercise price | 2017-07-26 | |
| 2017-07-24 | Venkatesan Jay Director, Officer (President), 10% Owner | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +90,063 90,063 owned after | $0.45 exercise price | 2017-07-26 | |
| 2017-01-12 | 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) | +200,000 200,000 owned after | $2.21 exercise price | 2017-01-23 | |
| 2017-01-12 | Carruthers R Michael Officer (Interim President / CFO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $2.21 exercise price | 2017-01-23 |