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: 11 rows in 2018. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-09-28: Reporting owner PENG STANFORD L; Form 4; Security Stock Option (Right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2018-08-06: Reporting owner Litton Mark James; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2018-04-20: Reporting owner Peetz Christopher; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2018-01-02: Reporting owner Topper James N; 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 |
|---|---|---|---|---|---|---|---|---|
| 2018-09-28 | PENG STANFORD L Officer (See Remarks) | 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 | $6.33 exercise price | 2018-10-02 | |
| 2018-08-06 | Litton Mark James Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $6.81 exercise price | 2018-08-08 | |
| 2018-04-20 | Peetz Christopher Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,650 7,650 owned after | $7.91 exercise price | 2018-04-24 | |
| 2018-01-02 | Topper James N Director, 10% Owner | 4 | Stock Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,650 7,650 owned after | $11.31 exercise price | 2018-01-04 | |
| 2018-01-02 | SEKHRI PAUL J Director | 4 | Stock Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,650 7,650 owned after | $11.31 exercise price | 2018-01-04 | |
| 2018-01-02 | Rickey James Paul Officer (Senior VP and CFO) | 4 | Stock Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,000 45,000 owned after | $11.31 exercise price | 2018-01-04 | |
| 2018-01-02 | GOLD MITCHELL Director, Officer (Executive Chairman and CEO), 10% Owner | 4 | Stock Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +70,000 70,000 owned after | $11.31 exercise price | 2018-01-04 | |
| 2018-01-02 | CONWAY ROBERT E Director | 4 | Stock Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,650 7,650 owned after | $11.31 exercise price | 2018-01-04 | |
| 2018-01-02 | Venkatesan Jay Director, Officer (President), 10% Owner | 4 | Stock Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $11.31 exercise price | 2018-01-04 | |
| 2018-01-02 | PENG STANFORD L Officer (See Remarks) | 4 | Stock Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +65,000 65,000 owned after | $11.31 exercise price | 2018-01-04 | |
| 2018-01-02 | Thompson Peter A. Director, 10% Owner | 4 | Stock Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,650 7,650 owned after | $11.31 exercise price | 2018-01-04 |