Filing Details
- Accession Number:
- 0001626199-21-000113
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-09-21 17:14:16
- Reporting Period:
- 2021-09-17
- Accepted Time:
- 2021-09-21 17:14:16
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1626199 | Alpine Immune Sciences Inc. | ALPN | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1413350 | Jay Venkatesan | C/O Alpine Immune Sciences, Inc. 188 East Blaine Street, Suite 200 Seattle WA 98102 | Yes | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2021-09-17 | 400,000 | $9.40 | 2,600,980 | No | 4 | S | Indirect | By Alpine ImmunoSciences, L.P. |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | By Alpine ImmunoSciences, L.P. |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 18,633 | Indirect | By Raj Venkatesan as UTMA custodian for Reid Coleman Venkatesan |
| Common Stock | 218,063 | Direct | |
| Common Stock | 18,633 | Indirect | By Raj Venkatesan as UTMA custodian for Nathaniel Graham Venkatesan |
Footnotes
- These shares were sold in a private transaction to an investor in the Issuer simultaneously with the closing of the Issuer's private placement on September 17, 2021.
- The Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- Alpine BioVentures GP, LLC is the general partner of Alpine ImmunoSciences, L.P. Dr. Venkatesan is a Managing Partner of Alpine BioVenture GP, LLC. Dr. Venkatesan is also a limited partner of Alpine ImmunoSciences, L.P. By virtue of such relationships, Dr. Venkatesan may be deemed to have voting and investment power with respect to the shares held by Alpine ImmunoSciences, L.P. and as a result may be deemed to have beneficial ownership of such shares.
- These shares are held by Raj Venkatesan as custodian for Reporting Person's sons under the California Uniform Transfers to Minors Act.
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