# EDGAR Filing Document

**Accession Number:** 0001626199
**File Stem:** 0001626199-23-000041
**Filing Date:** 2023-3
**Character Count:** 18434
**Document Hash:** 366702b88424c61b0c2a2d3840b9ef47
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001626199-23-000041.hdr.sgml**: 20230323

**ACCESSION NUMBER**: 0001626199-23-000041

**CONFORMED SUBMISSION TYPE**: S-8

**PUBLIC DOCUMENT COUNT**: 5

**FILED AS OF DATE**: 20230323

**DATE AS OF CHANGE**: 20230323

**EFFECTIVENESS DATE**: 20230323

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ALPINE IMMUNE SCIENCES, INC.
- **CENTRAL INDEX KEY:** 0001626199
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 208969493
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** S-8
- **SEC ACT:** 1933 Act
- **SEC FILE NUMBER:** 333-270807
- **FILM NUMBER:** 23757184

**BUSINESS ADDRESS:**
- **STREET 1:** 188 EAST BLAINE ST., SUITE 200
- **CITY:** SEATTLE
- **STATE:** WA
- **ZIP:** 98102
- **BUSINESS PHONE:** 206-788-4545

**MAIL ADDRESS:**
- **STREET 1:** 188 EAST BLAINE ST., SUITE 200
- **CITY:** SEATTLE
- **STATE:** WA
- **ZIP:** 98102

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Nivalis Therapeutics, Inc.
- **DATE OF NAME CHANGE:** 20150211

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** N30 Pharmaceuticals, Inc.
- **DATE OF NAME CHANGE:** 20141121

**As filed with the Securities and Exchange Commission on March 23, 2023**

**Registration No. 333-** 

**UNITED STATES** 

**SECURITIES AND EXCHANGE COMMISSION** 

**Washington, D.C. 20549** 

**FORM S-8**

**REGISTRATION STATEMENT** 

***Under***

***The Securities Act of 1933***

**ALPINE IMMUNE SCIENCES, INC.** 

**(Exact name of Registrant as specified in its charter)** 

---

| | |
|:---|:---|
| **Delaware** | **20-8969493** |
| **(State or other jurisdiction of<br>incorporation or organization)** | **(I.R.S. Employer<br>Identification Number)** |

---

**188 East Blaine Street, Suite 200**

**Seattle, WA 98102**

**(Address of principal executive offices, including zip code)** 

**2018 Equity Incentive Plan, as amended** 

**(Full title of the plan)** 

**Mitchell H. Gold, M.D.** 

**Executive Chairman and Chief Executive Officer** 

**188 East Blaine Street, Suite 200**

**Seattle, WA 98102**

**(206) 788-4545**

**(Name, address and telephone number, including area code, of agent for service)** 

***Copies to:***

---

| | |
|:---|:---|
| **Patrick J. Schultheis** |  |
| **Michael Nordtvedt<br>Bryan D. King** | **Paul Rickey** |
| **Wilson Sonsini Goodrich & Rosati,** | **Alpine Immune Sciences, Inc.** |
| **Professional Corporation** | **188 East Blaine Street, Suite 200** |
| **701 Fifth Avenue, Suite 5100** | **Seattle, Washington 98102** |
| **Seattle, Washington 98104-7036** | **(206) 788-4545** |
| **(206) 883-2500** |  |

---

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company or an emerging growth company. See the definitions of "large accelerated filer," "accelerated filer," "smaller reporting company" and "emerging growth company" in Rule 12b-2 of the Exchange Act.

---

| | | | |
|:---|:---|:---|:---|
| Large accelerated filer | ◻ | Accelerated filer | ◻ |
| Non-accelerated filer | ⌧ | Smaller reporting company | ⌧ |
| | | Emerging growth company | ◻ |

---

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act. □

------

**ALPINE IMMUNE SCIENCES, INC.** 

**REGISTRATION OF ADDITIONAL SECURITIES** 

**PURSUANT TO GENERAL INSTRUCTION E** 

This Registration Statement is being filed by Alpine Immune Sciences, Inc. (the "Registrant") for the purpose of registering 1,500,000 shares of common stock, $0.001 par value per share, of the Registrant under its 2018 Equity Incentive Plan, as amended. Accordingly, contents of (i) the previous Registration Statement on Form S-8 filed by the Registrant with the Securities and Exchange Commission (the "Commission") on June 21, 2018 (File No. 333-225792); (ii) the previous Registration Statement on Form S-8 filed by the Registrant with the Commission on March 18, 2019 (File No. 333-230369); (iii) the previous Registration Statement on Form S-8 filed by the Registrant with the Commission on March 30, 2020 (File No. 333-237479); (iv) the previous Registration Statement on Form S-8 filed by the Registrant with the Commission on June 17, 2020 (File No. 333-239233); (v) the previous Registration Statement on Form S-8 filed by the Registrant with the Commission on March 18, 2021 (File No. 333-254446); and (vi) the previous Registration Statement on Form S-8 filed by the Registrant with the Commission on March 17, 2022 (File No. 333-263652), (together, the "Previous Forms S-8"), including the information incorporated by reference therein and the periodic reports filed after the Previous Forms S-8 to maintain current information about the Registrant, are incorporated by reference into this Registration Statement pursuant to General Instruction E of Form S-8 (the "Registration Statement").

**PART II** 

**INFORMATION REQUIRED IN REGISTRATION STATEMENT** 

**Item 3. Incorporation of Documents by Reference.** 

The Registrant hereby incorporates by reference into this Registration Statement the following documents previously filed with the Commission:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(1)The Registrant's Annual Report on <u>[Form 10-K](https://www.sec.gov/ix?doc=/Archives/edgar/data/0001626199/000162619923000037/alpn-20221231.htm)</u> for the fiscal year ended December 31, 2022, filed with the Commission on March 23, 2023;

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(2)All other reports filed with the Commission pursuant to Section 13(a) or 15(d) of the Securities Exchange Act of 1934, as amended, since the end of the fiscal year covered by the Registrant's Annual Report referred to in (1) above; and

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(3)The description of the Registrant's common stock contained in the Registration Statement on <u>[Form 8-A12B](https://www.sec.gov/Archives/edgar/data/1626199/000110465915045575/a15-3350_88a12b.htm)</u> (File No. 001-37449) filed with the Commission on June 16, 2015, pursuant to Section 12(b) of the Act, including any amendment or report filed for the purpose of updating such description.

All documents filed by the Registrant pursuant to Sections 13(a), 13(c), 14 and 15(d) of the Securities Exchange Act of 1934, as amended, on or after the date of this Registration Statement and prior to the filing of a post-effective amendment to this Registration Statement that indicates that all securities offered have been sold or that deregisters all securities then remaining unsold shall be deemed to be incorporated by reference in this Registration Statement and to be a part hereof from the date of filing of such documents; *provided*, *however*, that documents or information deemed to have been furnished and not filed in accordance with the rules of the Commission shall not be deemed incorporated by reference into this Registration Statement. Any statement contained in a document incorporated or deemed to be incorporated by reference herein shall be deemed to be modified or superseded for purposes of this Registration Statement to the extent that a statement contained herein or in any subsequently filed document which also is deemed to be incorporated by reference herein modifies or supersedes such statement. Any such statement so modified or superseded shall not be deemed, except as so modified or superseded, to constitute a part of this Registration Statement.

Under no circumstances will any information furnished under current items 2.02 or 7.01 of Form 8-K be deemed incorporated herein by reference unless such Form 8-K expressly provides to the contrary.

------

**Item 8. Exhibits.** 

---

| | | | | | |
|:---|:---|:---|:---|:---|:---|
| **Exhibit <br>Number** | **Exhibit Description** | **Form** | **Incorporated by Reference** | **Incorporated by Reference** | **Filing Date** |
| **Exhibit <br>Number** | **Exhibit Description** | **Form** | **File No.** | **Exhibit** | **Filing Date** |
| 4.1 | <u>[Amended and Restated Certificate of Incorporation of the Registrant, as amended](https://www.sec.gov/Archives/edgar/data/1626199/000156459018006916/alpn-ex31_207.htm)</u> | 10-K | 001-37449 | 3.1 | March 28, 2018 |
| 4.2 | <u>[Amended and Restated Bylaws of the Registrant](https://www.sec.gov/Archives/edgar/data/1626199/000162619923000029/alpn-amendedandrestatedbyl.htm)</u> | 8-K | 001-37449 | 3.1 | January 26, 2023 |
| 4.3 | <u>[Form of Common Stock Certificate of the Registrant](https://www.sec.gov/Archives/edgar/data/1626199/000156459018006916/alpn-ex41_205.htm)</u> | 10-K | 001-37449 | 4.1 | March 28, 2018 |
| 4.4 | <u>[2018 Equity Incentive Plan, as amended](https://www.sec.gov/Archives/edgar/data/1626199/000162619920000024/alpn-ex101_20200616.htm)</u> | 8-K | 001-37449 | 10.1 | June 17, 2020 |
| 4.5 | <u>[Form of Stock Option Agreement under the 2018 Equity Incentive Plan](https://www.sec.gov/Archives/edgar/data/1626199/000119312518192903/d605617dex102.htm)</u> | 8-K | 001-37449 | 10.2 | June 14, 2018 |
| 4.6 | <u>[Form of Restricted Stock Unit Agreement under the 2018 Equity Incentive Plan](https://www.sec.gov/Archives/edgar/data/1626199/000162619920000003/alpn-ex101_20200127.htm)</u> | 8-K | 001-37449 | 10.1 | January 27, 2020 |
| 5.1+ | <u>[Opinion of Wilson Sonsini Goodrich & Rosati, Professional Corporation](alpn-ex51_20230323evergreen.htm)</u> |  |  |  |  |
| 23.1+ | <u>[Consent of Independent Registered Public Accounting Firm](alpn-ex231_20230323evergre.htm)</u> |  |  |  |  |
| 23.2+ | <u>[Consent of Wilson Sonsini Goodrich & Rosati, Professional Corporation (contained in Exhibit 5.1 hereto)](alpn-ex51_20230323evergreen.htm)</u> |  |  |  |  |
| 24.1+ | <u>[Power of Attorney (contained on signature page hereto)](#i5fc7822509aa459f92d6c96e8615a67d_10)</u> |  |  |  |  |
| 107+ | <u>[Filing Fee Tables](alpn-ex107_20230323evergre.htm)</u> |  |  |  |  |

---

+ Filed herewith.

------

**SIGNATURES** 

Pursuant to the requirements of the Securities Act of 1933, as amended, the Registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in City of Seattle, State of Washington, on the 23rd day of March, 2023.

---

| | |
|:---|:---|
| **Alpine Immune Sciences, Inc.** | **Alpine Immune Sciences, Inc.** |
| By: | */s/ Mitchell H. Gold, M.D.* |
|  | **Mitchell H. Gold, M.D.** |
|  | Executive Chairman and Chief Executive Officer |

---

**POWER OF ATTORNEY** 

KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Mitchell H. Gold, M.D. and Paul Rickey as his or her true and lawful attorneys-in-fact and agents, with full power of substitution and resubstitution, for him or her and in his or her name, place and stead, in any and all capacities (including his or her capacity as a director or officer of Alpine Immune Sciences, Inc.) to sign any or all amendments (including post-effective amendments) to this registration statement, and to file the same, with all exhibits thereto, and all other documents in connection therewith, with the SEC, granting unto said attorneys-in-fact and agents, and each of them, full power and authority to do and perform each and every act and thing requisite and necessary to be done in connection therewith, as fully to all intents and purposes as they, he or she might or could do in person, hereby ratifying and confirming all that said attorney-in-fact and agents or any of them, or their, his or her substitute or substitutes, may lawfully do or cause to be done by virtue hereof.

Pursuant to the requirements of the Securities Act of 1933, this Registration Statement on Form S-8 has been signed by the following persons in the capacities and on the dates indicated.

------

---

| | | |
|:---|:---|:---|
| **Signature** | **Title** | **Date** |
| */s/ Mitchell H. Gold, M.D.* | Chief Executive Officer and Executive Chairman of the Board of Directors | March 23, 2023 |
| **Mitchell H. Gold, M.D.** | (*Principal Executive Officer*) |  |
| */s/ Paul Rickey* | Senior Vice President and Chief Financial Officer | March 23, 2023 |
| **Paul Rickey** | (*Principal Accounting and Financial Officer*) |  |
| */s/ James N. Topper, M.D., Ph.D.* | Director | March 23, 2023 |
| **James N. Topper, M.D., Ph.D.** |  |  |
| */s/ Robert Conway* | Director | March 23, 2023 |
| **Robert Conway** |  |  |
| */s/ Peter Thompson, M.D.* | Director | March 23, 2023 |
| **Peter Thompson, M.D.** |  |  |
| */s/ Natasha Hernday* | Director | March 23, 2023 |
| **Natasha Hernday** |  |  |
| */s/ Christopher Peetz* | Director | March 23, 2023 |
| **Christopher Peetz** |  |  |
|  | Director |  |
| **Xiangmin Cui, Ph.D.** |  |  |
| /s/ *Jörn Drappa, M.D., Ph.D.* | Director | March 23, 2023 |
| **Jörn Drappa, M.D., Ph.D.** |  |  |

---

## Ex-Filing

**Exhibit 107**

**Calculation of Filing Fee Tables**

**Form S-8**

(Form Type)

**Alpine Immune Sciences, Inc.**

(Exact name of registrant as specified in its charter)

---

| | | | | | | | |
|:---|:---|:---|:---|:---|:---|:---|:---|
| **Table 1 – Newly Registered Securities** | **Table 1 – Newly Registered Securities** | **Table 1 – Newly Registered Securities** | **Table 1 – Newly Registered Securities** | **Table 1 – Newly Registered Securities** | **Table 1 – Newly Registered Securities** | **Table 1 – Newly Registered Securities** | **Table 1 – Newly Registered Securities** |
| **Security Type** | **Security Class Title** | **Fee Calculation Rule** | **Amount Registered**<sup>(1)(2)</sup> | **Proposed Maximum Offering Price Per Unit** | **Maximum Aggregate Offering Price** | **Fee Rate** | **Amount of Registration Fee** |
| Equity | Common Stock, $0.001 par value per share, reserved for issuance under the 2018 Equity Incentive Plan, as amended | Other | 1500000 | $8.37<sup>(3)</sup> | $12555000 | $110.20 per $1,000,000 | $1383.56 |
| **Total Offering Amounts** | **Total Offering Amounts** | **Total Offering Amounts** | **Total Offering Amounts** |  | **$12555000** |  | **1383.56** |
| **Total Fee Offsets** | **Total Fee Offsets** | **Total Fee Offsets** | **Total Fee Offsets** |  |  |  | **–** |
| **Net Fee Due** | **Net Fee Due** | **Net Fee Due** | **Net Fee Due** |  |  |  | **1383.56** |

---

---

| |
|:---|
| <sup>(1)</sup> Pursuant to Rule 416(a) of the Securities Act of 1933, as amended (the "Securities Act"), this Registration Statement this Registration Statement shall also cover any additional shares of the Registrant's common stock that become issuable under the 2018 Equity Incentive Plan, as amended (the "2018 Plan") by reason of any stock dividend, stock split, recapitalization or other similar transaction effected without receipt of consideration that increases the number of the Registrant's outstanding shares of common stock. |
| <sup>(2)</sup> Represents 1,500,000 additional shares of common stock reserved for issuance as a result of the annual evergreen increase pursuant to the 2018 Plan. |
| <sup>(3)</sup> Estimated in accordance with Rules 457(c) and 457(h) of the Securities Act solely for purposes of calculating the registration fee on the basis of $8.37, the average of the high and low prices of the common stock, as reported on the Nasdaq Global Market on March 20, 2023. |

---

## Exhibit 5.1

---

| | |
|:---|:---|
| | **Exhibit 5.1** |
| ![image_0a.jpg](image_0a.jpg) | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Wilson Sonsini Goodrich & Rosati<br>Professional Corporation<br>701 Fifth Avenue<br>Suite 5100<br>Seattle, Washington 98104-7036<br>o: 206.883.2500<br>f: 206.883.2699 |

---

March 23, 2023

Alpine Immune Sciences, Inc.

188 East Blaine Street, Suite 200

Seattle, WA 98102

**Re: Registration Statement on Form S-8**

Ladies and Gentlemen:

We have examined the Registration Statement on Form S-8 (the "Registration Statement") to be filed by Alpine Immune Sciences, Inc., a Delaware corporation, with the Securities and Exchange Commission on or about the date hereof, in connection with the registration under the Securities Act of 1933, as amended, of 1,500,000 shares of your common stock, par value $0.001 per share (the "Shares") to be issued pursuant to the 2018 Equity Incentive Plan, as amended from time to time (the "Plan"). As your legal counsel, we have reviewed the actions proposed to be taken by you in connection with the issuance and sale of the Shares to be issued under the Plan.

It is our opinion that the Shares, when issued and sold in the manner referred to in the Plan and pursuant to the agreements that accompany the Plan, will be legally and validly issued, fully paid and nonassessable.

We consent to the use of this opinion as an exhibit to the Registration Statement, and further consent to the use of our name wherever appearing in the Registration Statement and any amendments thereto.<br>

---

| |
|:---|
| Very truly yours, |
| WILSON SONSINI GOODRICH & ROSATI |
| Professional Corporation |
| /s/Wilson Sonsini Goodrich & Rosati P.C. |

---

AUSTIN BEIJING BOSTON BOULDER BRUSSELS HONG KONG LONDON LOS ANGELES NEW YORK PALO ALTO<br>SALT LAKE CITY SAN DIEGO SAN FRANCISCO SEATTLE SHANGHAI WASHINGTON, DC WILMINGTON, DE

## Exhibit 23.1

**Exhibit 23.1**

**Consent of Independent Registered Public Accounting Firm** 

We consent to the incorporation by reference in the Registration Statement (Form S-8) pertaining to the 2018 Equity Incentive Plan of Alpine Immune Sciences, Inc. of our report dated March 23, 2023, with respect to the consolidated financial statements of Alpine Immune Sciences, Inc. included in its Annual Report (Form 10-K) for the year ended December 31, 2022, filed with the Securities and Exchange Commission.

/s/ Ernst & Young LLP

Seattle, Washington

March 23, 2023

<br>