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, 7 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-01-18: Reporting owner Thompson Peter A.; Form 4; Security Warrants to Purchase Common Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2019-01-18: Reporting owner ORBIMED ADVISORS LLC | OrbiMed Capital GP VI LLC; Form 4; Security Warrants to Purchase Common Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2019-01-18: Reporting owner Alpine ImmunoSciences, L.P. | Alpine Bioventures, GP, LLC; Form 4; Security Warrant (right to buy); Transaction P Open market or private purchase of non-derivative or derivative security.
- 2019-01-18: Reporting owner GOLD MITCHELL; Form 4; Security Warrant (right to buy); Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 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 |