Gold Mitchell's Form 4 filing
Alpine Immune Sciences, Inc. (ALPN) · filed Dec 29, 2023
- Accession no.
- 0001626199-23-000149
- Filed
- Dec 29, 2023
- Trade date
- Dec 28, 2023
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Checked
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $20.4K. It was filed 1 day 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 |
|---|---|
| Gold MitchellCIK 0001242882 | Director, Officer (Executive Chairman and CEO) |
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 28, 2023 | Common Stock | MOption exerciseAcquired | +1,016 | $0.65 | +$660.4 | 1,016 | Direct | |
| Dec 28, 2023 | Common Stock | SSaleDisposed | −1,016 | $20.04F2 | −$20,360.64 | 0 | Direct | |
| Dec 28, 2023 | Common Stock | MOption exerciseAcquired | +74,441 | $12.74 | +$948,378.34 | 2,675,421 | Indirect | |
| Dec 28, 2023 | Common Stock | FTax withholdingDisposed | −48,264 | $19.65F6 | −$948,387.6 | 2,627,157 | Indirect |
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 28, 2023 | Common Stock | MOption exerciseDisposed | −1,016 | $0.00 | $0 | 247,951 | Direct | |
| Dec 28, 2023 | Common Stock | MOption exerciseDisposed | −74,441 | $0.00F8 | $0 | 0 | Indirect |
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 $20.00 to $20.115. The price reported above reflects the weighted average sales 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.
- F6
Represents the average closing price of Issuer's common stock for the five consecutive trading days ending on December 27, 2023 (the date immediately preceding the warrant exercise date).
Referenced by the price of 1 transaction in Table I.
- F8
Pursuant to the terms of a Securities Purchase Agreement, dated January 15, 2019 by and among the Issuer and the Purchasers set forth on the signature pages thereto, holder purchased common stock units for $5.37 per common stock unit. Each common stock unit consisted of one share of the Company's Common Stock and a warrant to purchase 0.39 shares of the Company's Common Stock.
Referenced by the price of 1 transaction in Table II.