Form Type: 4

SEC EDGAR Link
Accession Number:0000947871-21-001010
Date:2021-09-17
Issuer: ALPINE IMMUNE SCIENCES, INC. (ALPN)
Original Submission Date:

Reporting Person:

ORBIMED ADVISORS LLC
601 LEXINGTON AVENUE
54TH FLOOR NEW YORK, NY 10022-4629

Reporting Person:

ORBIMED CAPITAL GP VI LLC
601 LEXINGTON AVENUE
54TH FLOOR NEW YORK, NY 10022-4629

Reporting Person:

ORBIMED GENESIS GP LLC
601 LEXINGTON AVENUE
54TH FLOOR NEW YORK, NY 10022-4629

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-09-17 P 585,106 a $9.40 3,656,061 indirect f2,f4
COMMON STOCK 2021-09-17 P 425,531 a $9.40 425,531 indirect f3,f4
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 these shares of the issuer's common stock were purchased in a block order at a price of $9.40.
f2 these shares of the issuer's common stock are held of record by orbimed private investments vi, lp ("opi vi"). orbimed capital gp vi llc ("gp vi") is the general partner of opi vi, and orbimed advisors llc ("advisors"), a registered investment adviser under the investment advisors act of 1940, as amended, is the managing member of gp vi. advisors and gp vi exercise investment and voting power through a management committee comprised of carl l. gordon, sven h. borho, and w. carter neild, each of whom disclaims beneficial ownership of the shares held by opi vi.
f3 these shares of the issuer's common stock are held of record by orbimed genesis master fund, l.p. ("genesis master fund"). orbimed genesis gp llc ("genesis gp") is the general partner of genesis master fund and advisors is the managing member of genesis gp. advisors and genesis gp exercise investment and voting power through a management committee comprised of carl l. gordon, sven h. borho, and w. carter neild, each of whom disclaims beneficial ownership of the securities held by genesis master fund.
f4 this report on form 4 is jointly filed by gp vi, advisors, and genesis gp. each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of rule 16a-1(a) under the securities exchange act of 1934, as amended (the "exchange act"), except to the extent of its pecuniary interest therein, if any. advisors and gp vi have designated peter a. thompson ("thompson"), an employee of advisors, to serve on the issuer's board of directors. this report shall not be deemed an admission that any of the reporting persons, or thompson, is a beneficial owner of such securities for the purpose of section 16 of the exchange act, or for any other purpose.
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