Rickey James Paul's Form 4 filing
Alpine Immune Sciences, Inc. (ALPN) · filed Dec 18, 2023
- Accession no.
- 0001606243-23-000006
- Filed
- Dec 18, 2023
- Trade date
- Dec 14-18, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Checked
This filing lists 6 non-derivative transactions and 3 derivative transactions. Open-market sales total $1.12M. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Rickey James PaulCIK 0001606243 | Officer (See Remarks) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 14, 2023 | Common Stock | MOption exerciseAcquired | +11,600 | $5.02 | +$58,232 | 11,600 | Direct | |
| Dec 14, 2023 | Common Stock | SSaleDisposed | −11,600 | $19.00F2 | −$220,400 | 0 | Direct | |
| Dec 15, 2023 | Common Stock | MOption exerciseAcquired | +45,387 | $5.02 | +$227,842.74 | 45,387 | Direct | |
| Dec 15, 2023 | Common Stock | SSaleDisposed | −45,387 | $19.09F3 | −$866,437.83 | 0 | Direct | |
| Dec 18, 2023 | Common Stock | MOption exerciseAcquired | +1,800 | $5.02 | +$9,036 | 1,800 | Direct | |
| Dec 18, 2023 | Common Stock | SSaleDisposed | −1,800 | $19.00F4 | −$34,200 | 0 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 14, 2023 | Common Stock | MOption exerciseDisposed | −11,600 | $0.00 | $0 | 62,935 | Direct | |
| Dec 15, 2023 | Common Stock | MOption exerciseDisposed | −45,387 | $0.00 | $0 | 17,548 | Direct | |
| Dec 18, 2023 | Common Stock | MOption exerciseDisposed | −1,800 | $0.00 | $0 | 15,748 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
This transaction was executed in multiple trades at prices ranging from $19.00 to $19.07. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.
- F3
This transaction was executed in multiple trades at prices ranging from $19.00 to $19.27. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.
- F4
This transaction was executed in multiple trades at prices ranging from $19.00 to $19.02. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.
Remarks
Senior Vice President, Chief Financial Officer and Corporate Secretary