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 2021. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-06-01: Reporting owner Goldberg Zelanna; Form 4; Security Stock Option (Right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2021-03-31: Reporting owner Venkatesan Jay; Form 4; Security Stock Option (Right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2021-03-30: Reporting owner Venkatesan Jay; Form 4; Security Stock Option (Right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2021-01-05: 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).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2021-06-01 | Goldberg Zelanna Officer (Chief Medical Officer) | 4 | Stock Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +160,000 160,000 owned after | $10.29 exercise price | 2021-06-02 | |
| 2021-03-31 | Venkatesan Jay Director, 10% Owner | 4 | Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,650 0 owned after | $3.62 exercise price | 2021-04-23 | |
| 2021-03-30 | Venkatesan Jay Director, 10% Owner | 4 | Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,650 0 owned after | $4.09 exercise price | 2021-04-23 | |
| 2021-01-05 | 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) | +120,000 120,000 owned after | $13.20 exercise price | 2021-01-06 | |
| 2021-01-05 | 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) | +255,000 255,000 owned after | $13.20 exercise price | 2021-01-06 | |
| 2021-01-05 | 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) | +150,000 150,000 owned after | $13.20 exercise price | 2021-01-06 | |
| 2021-01-04 | Hernday Natasha 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 | $13.45 exercise price | 2021-01-05 | |
| 2021-01-04 | 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 | $13.45 exercise price | 2021-01-05 | |
| 2021-01-04 | 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 | $13.45 exercise price | 2021-01-05 | |
| 2021-01-04 | 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 | $13.45 exercise price | 2021-01-05 | |
| 2021-01-04 | 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 | $13.45 exercise price | 2021-01-05 | |
| 2021-01-04 | 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 | $13.45 exercise price | 2021-01-05 | |
| 2021-01-04 | 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 | $13.45 exercise price | 2021-01-05 |