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: 35 rows in 2023. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2023-12-28: Reporting owner GOLD MITCHELL; Form 4; Security Stock Option (Right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2023-12-27: Reporting owner GOLD MITCHELL; Form 4; Security Stock Option (Right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2023-12-26: Reporting owner GOLD MITCHELL; Form 4; Security Stock Option (Right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2023-12-26: Reporting owner GOLD MITCHELL; Form 4; Security Stock Option (Right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2023-12-28 | GOLD MITCHELL Director, Officer (Executive Chairman and CEO) | 4 | Stock Option (Right to buy) Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,016 247,951 owned after | $0.65 exercise price | 2023-12-29 | |
| 2023-12-27 | GOLD MITCHELL Director, Officer (Executive Chairman and CEO) | 4 | Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −29,573 248,967 owned after | $0.65 exercise price | 2023-12-27 | |
| 2023-12-26 | GOLD MITCHELL Director, Officer (Executive Chairman and CEO) | 4 | Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,402 0 owned after | $0.45 exercise price | 2023-12-27 | |
| 2023-12-26 | GOLD MITCHELL Director, Officer (Executive Chairman and CEO) | 4 | Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −22,084 278,540 owned after | $0.65 exercise price | 2023-12-27 | |
| 2023-12-22 | GOLD MITCHELL Director, Officer (Executive Chairman and CEO) | 4 | Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −37,825 2,402 owned after | $0.45 exercise price | 2023-12-27 | |
| 2023-12-19 | Rickey James Paul Officer (See Remarks) | 4 | Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,213 535 owned after | $5.02 exercise price | 2023-12-21 | |
| 2023-12-19 | GOLD MITCHELL Director, Officer (Executive Chairman and CEO) | 4 | Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,402 40,227 owned after | $0.45 exercise price | 2023-12-21 | |
| 2023-12-18 | Rickey James Paul Officer (See Remarks) | 4 | Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,800 15,748 owned after | $5.02 exercise price | 2023-12-18 | |
| 2023-12-15 | Rickey James Paul Officer (See Remarks) | 4 | Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −45,387 17,548 owned after | $5.02 exercise price | 2023-12-18 | |
| 2023-12-14 | Rickey James Paul Officer (See Remarks) | 4 | Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,600 62,935 owned after | $5.02 exercise price | 2023-12-18 | |
| 2023-12-12 | GOLD MITCHELL Director, Officer (Executive Chairman and CEO) | 4 | Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,613 42,629 owned after | $0.45 exercise price | 2023-12-12 | |
| 2023-12-06 | Rickey James Paul Officer (See Remarks) | 4 | Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,446 19,500 owned after | $3.23 exercise price | 2023-12-06 | |
| 2023-12-05 | Rickey James Paul Officer (See Remarks) | 4 | Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −418 25,946 owned after | $3.23 exercise price | 2023-12-06 | |
| 2023-12-04 | Rickey James Paul Officer (See Remarks) | 4 | Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −63,947 26,364 owned after | $3.23 exercise price | 2023-12-06 | |
| 2023-11-30 | Rickey James Paul Officer (See Remarks) | 4 | Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −700 90,311 owned after | $3.23 exercise price | 2023-12-01 | |
| 2023-11-06 | Rickey James Paul Officer (See Remarks) | 4 | Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,989 91,011 owned after | $3.23 exercise price | 2023-11-08 | |
| 2023-10-02 | Dummer Wolfgang Officer (Chief Medical Officer) | 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 | $11.37 exercise price | 2023-10-04 | |
| 2023-04-27 holding as of filing | DURAND REMY Officer (Chief Business Officer) | 3 | Stock Option (Right to buy) Derivative · Direct | Holding | $4.76 exercise price | 2023-04-27 | ||
| 2023-04-27 holding as of filing | DURAND REMY Officer (Chief Business Officer) | 3 | Stock Option (Right to buy) Derivative · Direct | Holding | $6.51 exercise price | 2023-04-27 | ||
| 2023-04-27 holding as of filing | DURAND REMY Officer (Chief Business Officer) | 3 | Stock Option (Right to buy) Derivative · Direct | Holding | $4.09 exercise price | 2023-04-27 | ||
| 2023-04-27 holding as of filing | DURAND REMY Officer (Chief Business Officer) | 3 | Stock Option (Right to buy) Derivative · Direct | Holding | $3.23 exercise price | 2023-04-27 | ||
| 2023-04-27 holding as of filing | DURAND REMY Officer (Chief Business Officer) | 3 | Stock Option (Right to buy) Derivative · Direct | Holding | $13.20 exercise price | 2023-04-27 | ||
| 2023-04-27 holding as of filing | DURAND REMY Officer (Chief Business Officer) | 3 | Stock Option (Right to buy) Derivative · Direct | Holding | $13.30 exercise price | 2023-04-27 | ||
| 2023-04-27 holding as of filing | DURAND REMY Officer (Chief Business Officer) | 3 | Stock Option (Right to buy) Derivative · Direct | Holding | $7.55 exercise price | 2023-04-27 | ||
| 2023-01-05 | Sandler Andrew Seth Officer (Chief Medical Officer) | 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 | $7.24 exercise price | 2023-01-05 | |
| 2023-01-04 | GOLD MITCHELL Director, Officer (Executive Chairman and CEO) | 4 | Stock Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +350,000 350,000 owned after | $7.55 exercise price | 2023-01-05 | |
| 2023-01-04 | Rickey James Paul Officer (See Remarks) | 4 | Stock Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +109,000 109,000 owned after | $7.55 exercise price | 2023-01-05 | |
| 2023-01-04 | 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 | $7.55 exercise price | 2023-01-05 | |
| 2023-01-03 | Thompson Peter A. Director | 4 | Stock Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $7.43 exercise price | 2023-01-05 | |
| 2023-01-03 | Topper James N Director | 4 | Stock Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $7.43 exercise price | 2023-01-05 | |
| 2023-01-03 | Drappa Jorn Director | 4 | Stock Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $7.43 exercise price | 2023-01-05 | |
| 2023-01-03 | Hernday Natasha Director | 4 | Stock Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $7.43 exercise price | 2023-01-05 | |
| 2023-01-03 | Peetz Christopher Director | 4 | Stock Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $7.43 exercise price | 2023-01-05 | |
| 2023-01-03 | CONWAY ROBERT E Director | 4 | Stock Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $7.43 exercise price | 2023-01-05 | |
| 2023-01-03 | 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) | +10,000 10,000 owned after | $7.43 exercise price | 2023-01-05 |