ALPINE IMMUNE SCIENCES, INC. Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 4 rows, 4 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-01-03: Reporting owner Rodman David Malcom; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-10-03: Reporting owner Rodman David Malcom; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-07-01: Reporting owner Rodman David Malcom; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-04-22: Reporting owner Rodman David Malcom; Form 3; Security Restricted Stock Units; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-01-03 | Rodman David Malcom Officer (Exec Vice President and CMO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −18,056 162,501 owned after | $0.00 | 2017-01-05 | |
| 2016-10-03 | Rodman David Malcom Officer (Exec Vice President and CMO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −18,056 180,556 owned after | $0.00 | 2016-10-05 | |
| 2016-07-01 | Rodman David Malcom Officer (Exec Vice President and CMO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −18,055 198,612 owned after | $0.00 | 2016-07-06 | |
| 2016-04-22 holding as of filing | Rodman David Malcom Officer (See Remarks) | 3 | Restricted Stock Units Derivative · Direct | Holding | no price filed | 2016-04-22 |