ALPINE IMMUNE SCIENCES, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 17 rows, 17 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2024-04-25: Reporting owner Topper James N; Form 4; Security Warrant (Right to Buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2024-01-18: Reporting owner Decheng Capital China Life Sciences USD Fund III, L.P. | Decheng Capital Management III (Cayman), LLC; Form 4; Security Warrant (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2024-01-18: Reporting owner Cui Xiangmin; Form 4; Security Warrant (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2024-01-11: Reporting owner ORBIMED ADVISORS LLC | OrbiMed Genesis GP LLC | OrbiMed Capital GP VI LLC; Form 4; Security Warrant (Right to Buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2024-04-25 | Topper James N Director | 4 | Warrant (Right to Buy) Derivative · Indirect · By: Frazier Life Sciences VIII, L.P. | X Exercise of in-the-money or at-the-money derivative security | −1,200,000 0 owned after | $0.00 | 2024-04-29 | |
| 2024-01-18 | Decheng Capital China Life Sciences USD Fund III, L.P. | Decheng Capital Management III (Cayman), LLC 10% Owner | 10% Owner | 4 | Warrant (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −1,234,636 0 owned after | $12.74 exercise price | 2024-01-22 | |
| 2024-01-18 | Cui Xiangmin Director, 10% Owner | 4 | Warrant (right to buy) Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −1,234,636 0 owned after | $12.74 exercise price | 2024-01-22 | |
| 2024-01-11 | ORBIMED ADVISORS LLC | OrbiMed Genesis GP LLC | OrbiMed Capital GP VI LLC Director | Director | Director | 4 | Warrant (Right to Buy) Derivative · Indirect · See footnotes | X Exercise of in-the-money or at-the-money derivative security | −145,251 0 owned after | $12.74 exercise price | 2024-01-16 | |
| 2024-01-11 | Thompson Peter A. Director | 4 | Warrant (Right to Buy) Derivative · Indirect · See footnotes | X Exercise of in-the-money or at-the-money derivative security | −145,251 0 owned after | $12.74 exercise price | 2024-01-16 | |
| 2023-12-28 | GOLD MITCHELL Director, Officer (Executive Chairman and CEO) | 4 | Warrant (right to buy) Derivative · Indirect · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −74,441 0 owned after | $12.74 exercise price | 2023-12-29 | |
| 2023-12-11 | Topper James N Director | 4 | Warrant (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −145,251 0 owned after | $12.74 exercise price | 2023-12-13 | |
| 2021-09-17 | Topper James N | Heron Patrick J | Frazier Life Sciences VIII, L.P. | FHM LIFE SCIENCES VIII, L.P. | FHM LIFE SCIENCES VIII, L.L.C. Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrant (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,200,000 1,200,000 owned after | $0.00 | 2021-09-21 | |
| 2019-01-23 holding as of filing | Decheng Capital China Life Sciences USD Fund III, L.P. | Decheng Capital Management III (Cayman), LLC 10% Owner | 10% Owner | 3 | Warrant (right to buy) Derivative · Indirect · See Footnote | Holding | $12.74 exercise price | 2019-01-23 | ||
| 2019-01-18 | Cui Xiangmin Director, 10% Owner | 4 | Warrant (right to buy) Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,234,636 1,234,636 owned after | $5.37 | 2019-01-23 | |
| 2019-01-18 | Thompson Peter A. Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | +145,251 145,251 owned after | $0.00 | 2019-01-23 | |
| 2019-01-18 | ORBIMED ADVISORS LLC | OrbiMed Capital GP VI LLC Director, 10% Owner | Director, 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | +145,251 145,251 owned after | $0.00 | 2019-01-23 | |
| 2019-01-18 | Alpine ImmunoSciences, L.P. | Alpine Bioventures, GP, LLC 10% Owner | 10% Owner | 4 | Warrant (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +74,441 74,441 owned after | $12.74 exercise price | 2019-01-22 | |
| 2019-01-18 | GOLD MITCHELL Director, Officer (Executive Chairman and CEO), 10% Owner | 4 | Warrant (right to buy) Derivative · Indirect · Alpine ImmunoSciences, L.P. | P Open market or private purchase of non-derivative or derivative security | +74,441 74,441 owned after | $12.74 exercise price | 2019-01-22 | |
| 2019-01-18 | Venkatesan Jay Director, 10% Owner | 4 | Warrant (right to buy) Derivative · Indirect · Alpine ImmunoSciences, L.P. | P Open market or private purchase of non-derivative or derivative security | +74,441 74,441 owned after | $12.74 exercise price | 2019-01-22 | |
| 2019-01-18 | Frazier Life Sciences VIII, L.P. | FHM LIFE SCIENCES VIII, L.P. | FHM LIFE SCIENCES VIII, L.L.C. | Heron Patrick J 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +145,251 145,251 owned after | $12.74 exercise price | 2019-01-22 | |
| 2019-01-18 | Topper James N Director, 10% Owner | 4 | Warrant (Right to Buy) Derivative · Indirect · By Frazier Life Sciences VIII, L.P. | P Open market or private purchase of non-derivative or derivative security | +145,251 145,251 owned after | $12.74 exercise price | 2019-01-22 |