SEC Form 4 · accession 0001104659-17-000803
ALPINE IMMUNE SCIENCES, INC. · ALPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Malcom Rodman
Officer — Exec Vice President and CMO
Period of report
Jan 3, 2017
Accepted (ET)
Jan 5, 2017 · 11:00 am EST
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 | Jan 3, 2017 | M | 18,055 | $0.00 | A | 18,055 | D | |
| Common StockF3 | Jan 4, 2017 | S | 6,687 | $2.27 | D | 11,368 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF4 | $0.00 | Jan 3, 2017 | M | 18,056 | D | — | — | Common Stock | 18,055 | 162,501 | D |
Explanation of responses
- F1Represents shares issued on settlement of restricted stock units ("RSUs") granted to the reporting person upon vesting of such RSU's.
- F2Shares sold pursuant to a Rule 10b5-1 trading plan adopted by the reporting person to cover tax obligations in connection with the vesting of RSUs.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.27 to $2.34, inclusive. The reporting person undertakes to provide Nivalis Therapeutics, Inc., any security holder of Nivalis Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this Form 4.
- F4Represent fully vested RSUs. Each RSU represents the contingent right to receive one share of Common Stock. The RSUs vest in twelve equal quarterly installments on the first day of each calendar quarter commencing July 1, 2016.