SEC Form 4 · accession 0001209191-19-004783
ALPINE IMMUNE SCIENCES, INC. · ALPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Patrick J Heron
10% Owner
Frazier Life Sciences VIII, L.P.
10% Owner
FHM LIFE SCIENCES VIII, L.P.
10% Owner
FHM LIFE SCIENCES VIII, L.L.C.
10% Owner
Period of report
Jan 18, 2019
Accepted (ET)
Jan 22, 2019 · 5:14 pm 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 StockF1 | Jan 18, 2019 | P | 372,439 | $5.37 | A | 2,571,450 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant (Right to Buy)F1 | $12.74 | Jan 18, 2019 | P | 145,251 | A | Jan 18, 2019 | Jan 18, 2024 | Common Stock | 145,251 | 145,251 | D |
Explanation of responses
- F1The reportable securities are held directly by Frazier Life Sciences VIII, L.P. ("FLS LP"). FHM Life Sciences VIII, L.P. ("FHM LP") is the general partner of FLS LP. FHM Life Sciences VIII, L.L.C. ("FHM LLC") is the general partner of FHM LP. James Topper and Patrick Heron are the sole managing members of FHM LLC. Mr. Heron, FHM LP and FHM LLC disclaims beneficial ownership of the securities held by FLS LP except, to the extent of his or its pecuniary interest therein, if any.