SEC Form 4 · accession 0000921895-17-001425
ALPINE IMMUNE SCIENCES, INC. · ALPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
BVF PARTNERS L P/IL
10% Owner
Inc/il Bvf
10% Owner
Mark N Lampert
10% Owner
BVF Partners OS Ltd.
Other
Period of report
May 9, 2017
Accepted (ET)
May 11, 2017 · 6:52 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001626199
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.001 par valueF1,F2 | May 9, 2017 | P | 21,797 | $2.2879 | A | 949,458 | D | |
| Common Stock, $0.001 par valueF1,F3 | May 9, 2017 | P | 14,274 | $2.2879 | A | 621,816 | D | |
| Common Stock, $0.001 par valueF1,F4 | May 9, 2017 | P | 3,929 | $2.2879 | A | 171,536 | D | |
| Common Stock, $0.001 par valueF1,F2 | May 10, 2017 | P | 33,691 | $2.3457 | A | 983,149 | D | |
| Common Stock, $0.001 par valueF1,F3 | May 10, 2017 | P | 22,092 | $2.3457 | A | 643,908 | D | |
| Common Stock, $0.001 par valueF1,F4 | May 10, 2017 | P | 6,217 | $2.3457 | A | 177,753 | D | |
| Common Stock, $0.001 par valueF1,F2 | May 11, 2017 | P | 3,794 | $2.3429 | A | 986,943 | D | |
| Common Stock, $0.001 par valueF1,F3 | May 11, 2017 | P | 2,565 | $2.3429 | A | 646,473 | D | |
| Common Stock, $0.001 par valueF1,F4 | May 11, 2017 | P | 675 | $2.3429 | A | 178,428 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.
- F2Securities owned directly by BVF. As the general partner of BVF, Partners may be deemed to beneficially own the securities owned directly by BVF. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF.
- F3Securities owned directly by BVF2. As the general partner of BVF2, Partners may be deemed to beneficially own the securities owned directly by BVF2. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF2.
- F4Securities owned directly by Trading Fund OS. As the general partner of Trading Fund OS, Partners OS may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment manager of Trading Fund OS and the sole member of Partners OS, Partners may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by Trading Fund OS. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by Trading Fund OS.