Form 8-K





Washington, D.C. 20549







Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): April 20, 2018




(Exact name of registrant as specified in its Charter)




Delaware   001-37449   20-8969493

(State or other jurisdiction

of incorporation)



File Number)


(IRS Employer

Identification No.)

201 Elliott Avenue West, Suite 230

Seattle, WA 98119    

(Address of principal executive offices)    

Registrant’s telephone number including area code: (206) 788-4545

(Former name or former address, if changed since last report)



Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:


Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)


Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)


Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b) )


Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c) )

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

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 13(a) of the Exchange Act.  ☒




Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

On April 20, 2018, the board of directors of Alpine Immune Sciences, Inc. (the “Company”), upon recommendation from the nominating and corporate governance committee of the Company’s board of directors, voted to appoint Christopher Peetz, as a director of the Company, effective immediately. Mr. Peetz was appointed as a Class III director with a term expiring at the Company’s 2018 annual meeting of stockholders. Mr. Peetz was also appointed to the audit committee, replacing James Topper on such committee. Following the appointment, the audit committee of the Company’s board of directors consists of Mr. Robert Conway (chairman), Mr. Paul Sekhri and Mr. Peetz.

There are no transactions and no proposed transactions between Mr. Peetz (or any member of his immediate family) and the Company (or any of its subsidiaries), and there is no arrangement or understanding between Mr. Peetz and any other person or entity pursuant to which Mr. Peetz was appointed as a director of the Company.

Mr. Peetz will participate in the Company’s standard compensation plan for non-employee directors, including an initial stock option grant, which was granted to Mr. Peetz on April 20, 2018. The standard compensation plan for non-employee directors is described in the section titled “Non-Employee Director Compensation” of the Company’s definitive proxy statement on Schedule 14A, filed with the Securities and Exchange Commission on April 24, 2018.

A press release announcing Mr. Peetz’s appointment to the board of directors is attached hereto as Exhibit 99.1 and is incorporated herein by reference.


Item 9.01 Financial Statements and Exhibits.

(d) Exhibits




99.1    Press Release dated April 24, 2018


Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.


Date: April 24, 2018     ALPINE IMMUNE SCIENCES, INC.

/s/ Paul Rickey

    Name:   Paul Rickey
    Title:   Senior Vice President and Chief Financial Officer

Exhibit 99.1



Alpine Immune Sciences Appoints Life Sciences Executive Chris Peetz to its Board of Directors

SEATTLE, April 24, 2018 – Alpine Immune Sciences, Inc. (NASDAQ:ALPN) announced today the appointment of Chris Peetz to its Board of Directors. Mr. Peetz, an experienced life sciences executive, currently serves as the Chief Executive Officer of Flashlight Therapeutics.

“We are pleased to have Chris join Alpine’s Board of Directors during this period of significant growth of our company,” said Mitchell H. Gold, M.D., Executive Chairman and Chief Executive Officer of Alpine. “Chris’s strong track record of strategic and financial achievements, including expertise supporting various corporate transactions, will add value as we drive our two lead programs – ALPN-101 for autoimmune/inflammatory diseases and ALPN-202 for immuno-oncology indications – toward the clinic.”

Mr. Peetz previously served as Chief Financial Officer and Head of Corporate Development at Tobira Therapeutics, a publicly-traded biotechnology company acquired by Allergan in November 2016. Prior to joining Tobira Therapeutics, he held senior management roles at Jennerex Biotherapeutics and Onyx Pharmaceuticals (now Amgen), including oversight of financial planning and corporate strategy. Prior to Onyx, Mr. Peetz provided merger and acquisition advisory services at LaSalle Corporate Finance, a part of ABN AMRO, and held positions at Abgenix and Solazyme.

Mr. Peetz holds a B.S.B.A. from Washington University in St. Louis and an M.B.A. from the Stanford Graduate School of Business.

About Alpine Immune Sciences, Inc.

Alpine Immune Sciences, Inc. is focused on developing novel protein-based immunotherapies using its proprietary Variant Ig Domain (vIgD) technology. Our proprietary scientific platform is designed to interact with multiple targets, including many present in the immune synapse. Alpine’s vIgDs are developed using a process known as directed evolution, which produces proteins capable of either enhancing or diminishing an immune response and thereby may potentially apply therapeutically to cancer, autoimmune, and inflammatory diseases. Alpine has also developed Transmembrane Immunomodulatory Protein (TIP) technology, based on the vIgD technology, to potentially enhance engineered cellular therapies. For more information, visit



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