SEC Form 4 · accession 0001209191-19-005069
ALPINE IMMUNE SCIENCES, INC. · ALPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Xiangmin Cui
Director · 10% Owner
Period of report
Jan 18, 2019
Accepted (ET)
Jan 23, 2019 · 8:48 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,F2 | Jan 18, 2019 | A | 3,165,735 | $5.37 | A | 3,165,735 | I | See Footnote |
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,F2 | $12.74 | Jan 18, 2019 | A | 1,234,636 | A | Jan 18, 2019 | Jan 18, 2024 | Common Stock | 1,234,636 | 1,234,636 | I |
| Stock Option (right to buy)F3 | $5.7008 | Jan 18, 2019 | A | 7,650 | A | — | Jan 17, 2029 | Common Stock | 7,650 | 7,650 | D |
Explanation of responses
- F1The reportable securities are included within 3,165,735 units representing (i) 3,165,735 shares of the Company's common stock, par value $0.001 per share ("Common Stock"), and (ii) warrants to purchase an additional 1,234,636 shares of Common Stock for $5.37 per unit (each unit consisting of one share of Common Stock and a warrant to purchase 0.39 of a share of Common Stock).
- F2The reportable securities are owned directly by Decheng Capital China Life Sciences USD Fund III, L.P. (the "Fund"). The Reporting Person is the manager of the general partner of the Fund. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interests therein.
- F3The shares shall vest in 36 equal monthly installments commencing on January 18, 2019.