Accession Number: | 0000947871-21-001010 |
Date: | 2021-09-17 |
Issuer: | ALPINE IMMUNE SCIENCES, INC. (ALPN) |
Original Submission Date: |
ORBIMED ADVISORS LLC
601 LEXINGTON AVENUE
54TH FLOOR
NEW YORK, NY 10022-4629
ORBIMED CAPITAL GP VI LLC
601 LEXINGTON AVENUE
54TH FLOOR
NEW YORK, NY 10022-4629
ORBIMED GENESIS GP LLC
601 LEXINGTON AVENUE
54TH FLOOR
NEW YORK, NY 10022-4629
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature 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 |
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 Exercisable | Expiration 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 |
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ID | footnote |
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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. |