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: 12 rows in 2020. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-12-10: Reporting owner Hernday Natasha; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2020-07-08: 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).
- 2020-01-23: Reporting owner Rickey James Paul; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2020-01-23: 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).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2020-12-10 | Hernday Natasha Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $11.07 exercise price | 2020-12-11 | |
| 2020-07-08 | 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) | +50,000 50,000 owned after | $7.20 exercise price | 2020-07-09 | |
| 2020-01-23 | 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) | +102,000 102,000 owned after | $3.23 exercise price | 2020-01-27 | |
| 2020-01-23 | PENG STANFORD L Officer (President & Head of R&D) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +108,000 108,000 owned after | $3.23 exercise price | 2020-01-27 | |
| 2020-01-23 | 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) | +270,000 270,000 owned after | $3.23 exercise price | 2020-01-27 | |
| 2020-01-02 | 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 | $3.62 exercise price | 2020-01-06 | |
| 2020-01-02 | 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 | $3.62 exercise price | 2020-01-06 | |
| 2020-01-02 | Venkatesan Jay 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 | $3.62 exercise price | 2020-01-06 | |
| 2020-01-02 | 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 | $3.62 exercise price | 2020-01-06 | |
| 2020-01-02 | Cui Xiangmin 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 | $3.62 exercise price | 2020-01-06 | |
| 2020-01-02 | 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 | $3.62 exercise price | 2020-01-06 | |
| 2020-01-02 | 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 | $3.62 exercise price | 2020-01-06 |