Sec Form 13G Filing - Omega Fund VI L.P. filing for ALPINE IMMUNE SCIENCES INC (ALPN) - 2023-02-13

The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

  NAMES OF REPORTING PERSONS

  Omega Fund VI, L.P.

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

  (a)  ☐        (b)  ☒ (1)

  SEC USE ONLY

  CITIZENSHIP OR PLACE OF ORGANIZATION

  Cayman Islands

NUMBER OF

SHARES

 BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

  SOLE VOTING POWER

  0

  SHARED VOTING POWER

  2,415,050

  SOLE DISPOSITIVE POWER

  0

  SHARED DISPOSITIVE POWER

  2,415,050

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

  2,415,050

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)

  ☐

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

  5.2% (2)

  TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

  PN

This Schedule 13G is filed by Omega Fund VI, L.P. (”Omega Fund”),Omega Fund VI GP, L.P. (“Omega GP”), Omega Fund VI GP Manager, Ltd. (“Omega Ltd”), Claudio Nessi (“Nessi”), Otello Stampacchia (“Stampacchia”), and Anne-Mari Paster (“Paster”) (together, the “Reporting Persons”). Omega Ltd serves as the general partner of Omega GP, which serves as the general partner of Omega Fund; and each of Omega Ltd and Omega GP may be deemed to own beneficially the shares held by Omega Fund. Nessi, Stampacchia, and Paster are the directors of Omega Ltd and may be deemed to beneficially own the shares held by Omega Fund. The Reporting Persons may be deemed a “group” for purposes of Section 13 of the Exchange Act and expressly disclaim status as a “group” for purposes of this Schedule 13G.

The following percentages are based on (i) 45,914,433 shares of Common Stock outstanding as of November 8, 2022, as set forth in the Issuer’s quarterly report filed on Form 10-Q for the period ending September 30, 2022, filed with the Securities and Exchange Commission on November 14, 2022 and (ii) 385,470 shares of Common Stock that are subject to immediately exercisable Warrants held by Omega Fund.

  NAMES OF REPORTING PERSONS

  Omega Fund VI GP, L.P.

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

  (a)  ☐        (b)  ☒ (1)

  SEC USE ONLY

  CITIZENSHIP OR PLACE OF ORGANIZATION

  Cayman Islands

NUMBER OF

SHARES

 BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

  SOLE VOTING POWER

  0

  SHARED VOTING POWER

  2,415,050

  SOLE DISPOSITIVE POWER

  0

  SHARED DISPOSITIVE POWER

  2,415,050

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

  2,415,050

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)

  ☐

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

  5.2% (2)

  TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

  PN

This Schedule 13G is filed by Omega Fund VI, L.P. (“Omega Fund”), Omega Fund VI GP, L.P. (“Omega GP”), Omega Fund VI GP Manager, Ltd. (“Omega Ltd”), Claudio Nessi (“Nessi”), Otello Stampacchia (“Stampacchia”), and Anne-Mari Paster (“Paster”) (together, the “Reporting Persons”). Omega Ltd serves as the general partner of Omega GP, which serves as the general partner of Omega Fund; and each of Omega Ltd and Omega GP may be deemed to own beneficially the shares held by Omega Fund. Nessi, Stampacchia, and Paster are the directors of Omega Ltd and may be deemed to beneficially own the shares held by Omega Fund. The Reporting Persons may be deemed a “group” for purposes of Section 13 of the Exchange Act and expressly disclaim status as a “group” for purposes of this Schedule 13G.

The following percentages are based on (i) 45,914,433 shares of Common Stock outstanding as of November 8, 2022, as set forth in the Issuer’s quarterly report filed on Form 10-Q for the period ending September 30, 2022, filed with the Securities and Exchange Commission on November 14, 2022 and (ii) 385,470 shares of Common Stock that are subject to immediately exercisable Warrants held by Omega Fund.

  NAMES OF REPORTING PERSONS

  Omega Fund VI GP Manager, Ltd.

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

  (a)  ☐        (b)  ☒ (1)

  SEC USE ONLY

  CITIZENSHIP OR PLACE OF ORGANIZATION

  Cayman Islands

NUMBER OF

SHARES

 BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

  SOLE VOTING POWER

  0

  SHARED VOTING POWER

  2,415,050

  SOLE DISPOSITIVE POWER

  0

  SHARED DISPOSITIVE POWER

  2,415,050

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

  2,415,050

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)

  ☐

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

  5.2% (2)

  TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

  OO

This Schedule 13G is filed by Omega Fund VI, L.P. (“Omega Fund”), Omega Fund VI GP, L.P. (“Omega GP”), Omega Fund VI GP Manager, Ltd. (“Omega Ltd”), Claudio Nessi (“Nessi”), Otello Stampacchia (“Stampacchia”), and Anne-Mari Paster (“Paster”) (together, the “Reporting Persons”). Omega Ltd serves as the general partner of Omega GP, which serves as the general partner of Omega Fund; and each of Omega Ltd and Omega GP may be deemed to own beneficially the shares held by Omega Fund. Nessi, Stampacchia, and Paster are the directors of Omega Ltd and may be deemed to beneficially own the shares held by Omega Fund. The Reporting Persons may be deemed a “group” for purposes of Section 13 of the Exchange Act and expressly disclaim status as a “group” for purposes of this Schedule 13G.

The following percentages are based on (i) 45,914,433 shares of Common Stock outstanding as of November 8, 2022, as set forth in the Issuer’s quarterly report filed on Form 10-Q for the period ending September 30, 2022, filed with the Securities and Exchange Commission on November 14, 2022 and (ii) 385,470 shares of Common Stock that are subject to immediately exercisable Warrants held by Omega Fund.

  NAMES OF REPORTING PERSONS

  Claudio Nessi

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

  (a)  ☐        (b)  ☒ (1)

  SEC USE ONLY

  CITIZENSHIP OR PLACE OF ORGANIZATION

  Switzerland

NUMBER OF

SHARES

 BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

  SOLE VOTING POWER

  0

  SHARED VOTING POWER

  2,415,050

  SOLE DISPOSITIVE POWER

  0

  SHARED DISPOSITIVE POWER

  2,415,050

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

  2,415,050

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)

  ☐

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

  5.2% (2)

  TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

  IN

This Schedule 13G is filed by Omega Fund VI, L.P. (“Omega Fund”), Omega Fund VI GP, L.P. (“Omega GP”), Omega Fund VI GP Manager, Ltd. (“Omega Ltd”), Claudio Nessi (“Nessi”), Otello Stampacchia (“Stampacchia”), and Anne-Mari Paster (“Paster”) (together, the “Reporting Persons”). Omega Ltd serves as the general partner of Omega GP, which serves as the general partner of Omega Fund; and each of Omega Ltd and Omega GP may be deemed to own beneficially the shares held by Omega Fund. Nessi, Stampacchia, and Paster are the directors of Omega Ltd and may be deemed to beneficially own the shares held by Omega Fund. The Reporting Persons may be deemed a “group” for purposes of Section 13 of the Exchange Act and expressly disclaim status as a “group” for purposes of this Schedule 13G.

The following percentages are based on (i) 45,914,433 shares of Common Stock outstanding as of November 8, 2022, as set forth in the Issuer’s quarterly report filed on Form 10-Q for the period ending September 30, 2022, filed with the Securities and Exchange Commission on November 14, 2022 and (ii) 385,470 shares of Common Stock that are subject to immediately exercisable Warrants held by Omega Fund.

  NAMES OF REPORTING PERSONS

  Otello Stampacchia

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

  (a)  ☐        (b)  ☒ (1)

  SEC USE ONLY

  CITIZENSHIP OR PLACE OF ORGANIZATION

  Italy

NUMBER OF

SHARES

 BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

  SOLE VOTING POWER

  0

  SHARED VOTING POWER

  2,415,050

  SOLE DISPOSITIVE POWER

  0

  SHARED DISPOSITIVE POWER

  2,415,050

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

  2,415,050

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)

  ☐

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

  5.2% (2)

  TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

  IN

This Schedule 13G is filed by Omega Fund VI, L.P. (“Omega Fund”), Omega Fund VI GP, L.P. (“Omega GP”), Omega Fund VI GP Manager, Ltd. (“Omega Ltd”), Claudio Nessi (“Nessi”), Otello Stampacchia (“Stampacchia”), and Anne-Mari Paster (“Paster”) (together, the “Reporting Persons”). Omega Ltd serves as the general partner of Omega GP, which serves as the general partner of Omega Fund; and each of Omega Ltd and Omega GP may be deemed to own beneficially the shares held by Omega Fund. Nessi, Stampacchia, and Paster are the directors of Omega Ltd and may be deemed to beneficially own the shares held by Omega Fund. The Reporting Persons may be deemed a “group” for purposes of Section 13 of the Exchange Act and expressly disclaim status as a “group” for purposes of this Schedule 13G.

The following percentages are based on (i) 45,914,433 shares of Common Stock outstanding as of November 8, 2022, as set forth in the Issuer’s quarterly report filed on Form 10-Q for the period ending September 30, 2022, filed with the Securities and Exchange Commission on November 14, 2022 and (ii) 385,470 shares of Common Stock that are subject to immediately exercisable Warrants held by Omega Fund.

  NAMES OF REPORTING PERSONS

  Anne-Mari Paster

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

  (a)  ☐        (b)  ☒ (1)

  SEC USE ONLY

  CITIZENSHIP OR PLACE OF ORGANIZATION

  United States of America

NUMBER OF

SHARES

 BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

  SOLE VOTING POWER

  0

  SHARED VOTING POWER

  2,415,050

  SOLE DISPOSITIVE POWER

  0

  SHARED DISPOSITIVE POWER

  2,415,050

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

  2,415,050

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)

  ☐

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

  5.2% (2)

  TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

  IN

This Schedule 13G is filed by Omega Fund VI, L.P. (“Omega Fund”), Omega Fund VI GP, L.P. (“Omega GP”), Omega Fund VI GP Manager, Ltd. (“Omega Ltd”), Claudio Nessi (“Nessi”), Otello Stampacchia (“Stampacchia”), and Anne-Mari Paster (“Paster”) (together, the “Reporting Persons”). Omega Ltd serves as the general partner of Omega GP, which serves as the general partner of Omega Fund; and each of Omega Ltd and Omega GP may be deemed to own beneficially the shares held by Omega Fund. Nessi, Stampacchia, and Paster are the directors of Omega Ltd and may be deemed to beneficially own the shares held by Omega Fund. The Reporting Persons may be deemed a “group” for purposes of Section 13 of the Exchange Act and expressly disclaim status as a “group” for purposes of this Schedule 13G.

The following percentages are based on (i) 45,914,433 shares of Common Stock outstanding as of November 8, 2022, as set forth in the Issuer’s quarterly report filed on Form 10-Q for the period ending September 30, 2022, filed with the Securities and Exchange Commission on November 14, 2022 and (ii) 385,470 shares of Common Stock that are subject to immediately exercisable Warrants held by Omega Fund.

Name of Issuer:

Address of Issuer’s principal executive offices:

Name of Reporting Persons filing:

Address or principal business office or, if none, residence:

Citizenship:

Name

Omega Fund

Omega GP

Omega Ltd.

Nessi

Stampacchia

Paster

Title of class of securities:

CUSIP No.:

If this statement is filed pursuant to §§ 240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filings is a:

Ownership

Omega Fund(2)(3)

Omega GP(2)(3)

Omega Ltd(2)(3)

Nessi(2)(3)

Stampacchia(2)(3)

Paster(2)(3)

The following percentages are based on (i) 45,914,433 shares of Common Stock outstanding as of November 8, 2022, as set forth in the Issuer’s quarterly report filed on Form 10-Q for the period ending September 30, 2022, filed with the Securities and Exchange Commission on November 14, 2022 and (ii) 385,470 shares of Common Stock that are subject to immediately exercisable Warrants held by Omega Fund.

Omega Fund owns 2,415,050 shares of the Common Stock and 385,470 immediately exercisable Warrants. Omega Ltd serves as the general partner of Omega GP, which serves as the general partner of Omega Fund, and each of Omega GP and Omega Ltd may be deemed to own beneficially the shares and Warrants held by Omega Fund. Nessi, Stampacchia, and Paster are the directors of Omega Ltd and may be deemed to beneficially own the shares and Warrants held by Omega Fund.

The Reporting Persons may be deemed a “group” for purposes of Section 13 of the Exchange Act and expressly disclaim status as a “group” for purposes of this Schedule 13G.

Ownership of Five Percent or Less of a Class

Ownership of More than Five Percent on Behalf of Another Person

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person

Identification and Classification of Members of the Group

Notice of Dissolution of Group

Certifications

/s/ Anne-Mari Paster

/s/ Anne-Mari Paster

/s/ Anne-Mari Paster

/s/ * Anne-Mari Paster, as Attorney-in-Fact

/s/ * Anne-Mari Paster, as Attorney-in-Fact

/s/ Anne-Mari Paster*