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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | |||
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1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Stock Option (Right to buy) | (2) | 12/05/2031 | Common Stock | 75,000 | $ 12.07 | D | |
| Stock Option (Right to buy) | (3) | 03/21/2033 | Common Stock | 28,700 | $ 7.91 | D | |
| Stock Option (Right to buy) | (4) | 03/13/2034 | Common Stock | 14,600 | $ 35.89 | D | |
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| FUHS ULRICH MARTIN C/O ALPINE IMMUNE SCIENCES, INC. 188 EAST BLAINE STREET, SUITE 200 SEATTLE, WA 98102 |
Chief Accounting Officer | |||
| /s/ James Paul Rickey | 04/05/2024 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | Consists of restricted stock units, or RSUs, each of which represents a contingent right to receive one share of the issuer's common stock. 1/4th of the RSUs will vest on January 1, 2025, and the remainder will vest in twelve (12) equal quarterly installments on April 1, 2025, July 1, 2025, October 1, 2025 and on January 1, April 1, July 1, and October 1 of each subsequent year until all RSUs are vested on January 1, 2028, subject to the reporting person continuing to be a service provider through each date. |
| (2) | 1/4th of the shares subject to the option vested on November 30, 2022, and one thirty-sixth (1/36th) of the remaining shares subject to the option shall vest each month thereafter, subject to the reporting person continuing to be a service provider through each date. |
| (3) | 1/4th of the shares subject to the option vested on March 22, 2024, and one thirty-sixth (1/36th) of the remaining shares subject to the option shall vest each month thereafter, subject to the reporting person continuing to be a service provider through each date. |
| (4) | 1/4th of the shares subject to the option will vest on March 14, 2025, and one thirty-sixth (1/36th) of the remaining shares subject to the option shall vest each month thereafter, subject to the reporting person continuing to be a service provider through each date. |
| Remarks: Ex.24 Power of Attorney |
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