0001179110-15-012105.txt : 20150813 0001179110-15-012105.hdr.sgml : 20150813 20150813195048 ACCESSION NUMBER: 0001179110-15-012105 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150811 FILED AS OF DATE: 20150813 DATE AS OF CHANGE: 20150813 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ALDER BIOPHARMACEUTICALS INC CENTRAL INDEX KEY: 0001423824 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 11804 NORTH CREEK PARKWAY SOUTH CITY: BOTHELL STATE: WA ZIP: 98011 BUSINESS PHONE: 425-205-2900 MAIL ADDRESS: STREET 1: 11804 NORTH CREEK PARKWAY SOUTH CITY: BOTHELL STATE: WA ZIP: 98011 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STURIALE NICHOLAS G CENTRAL INDEX KEY: 0001205951 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36431 FILM NUMBER: 151052206 MAIL ADDRESS: STREET 1: C/O SEVIN ROSEN FUNDS STREET 2: 13455 NOEL RD CITY: DALLAS STATE: TX ZIP: 75240 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHUELE ALAN R CENTRAL INDEX KEY: 0001066600 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36431 FILM NUMBER: 151052207 MAIL ADDRESS: STREET 1: C/O SEVIN ROSEN FUNDS STREET 2: 13455 NOEL RD #1670 CITY: DALLAS STATE: TX ZIP: 75240 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OXAAL JOHN T CENTRAL INDEX KEY: 0001205949 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36431 FILM NUMBER: 151052208 MAIL ADDRESS: STREET 1: C/O SEVIN ROSEN FUNDS STREET 2: 13455 NOEL RD CITY: DALLAS STATE: TX ZIP: 75240 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: McLean David J. CENTRAL INDEX KEY: 0001425210 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36431 FILM NUMBER: 151052209 MAIL ADDRESS: STREET 1: SEVIN ROSEN FUNDS STREET 2: 13455 NOEL ROAD, SUITE 1670 CITY: DALLAS STATE: TX ZIP: 75240 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KIMZEY JACKIE R CENTRAL INDEX KEY: 0001189257 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36431 FILM NUMBER: 151052210 MAIL ADDRESS: STREET 1: C/O SEVIN ROSEN FUNDS STREET 2: 13455 NOEL RD #1670 CITY: DALLAS STATE: TX ZIP: 75240 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JAGGERS JOHN V CENTRAL INDEX KEY: 0001033563 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36431 FILM NUMBER: 151052213 MAIL ADDRESS: STREET 1: C/O SEVIN ROSEN FUNDS STREET 2: 13455 NOEL ROAD, SUITE 1670 CITY: DALLAS STATE: TX ZIP: 75240 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DOMENIK STEPHEN L CENTRAL INDEX KEY: 0001189256 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36431 FILM NUMBER: 151052211 MAIL ADDRESS: STREET 1: C/O SEVIN ROSEN FUNDS STREET 2: 13455 NOEL RD #1670 CITY: DALLAS STATE: TX ZIP: 75240 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BAYLESS JON W CENTRAL INDEX KEY: 0001026496 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36431 FILM NUMBER: 151052212 MAIL ADDRESS: STREET 1: C/O SEVIN ROSEN FUNDS STREET 2: 13455 NOEL RD #1670 CITY: DALLAS STATE: TX ZIP: 75240 4 1 edgar.xml FORM 4 - X0306 4 2015-08-11 0 0001423824 ALDER BIOPHARMACEUTICALS INC ALDR 0001033563 JAGGERS JOHN V C/O SEVIN ROSEN FUNDS 13355 NOEL ROAD, SUITE 1350 DALLAS TX 75240 0 0 0 1 Affiliate 0001026496 BAYLESS JON W C/O SEVIN ROSEN FUNDS 13455 NOEL ROAD, SUITE 1670 DALLAS TX 75240 0 0 0 1 Affiliate 0001189256 DOMENIK STEPHEN L C/O SEVIN ROSEN FUNDS 13455 NOEL ROAD, SUITE 1670 DALLAS TX 75240 0 0 0 1 Affiliate 0001189257 KIMZEY JACKIE R SEVIN ROSEN FUNDS 13355 NOEL ROAD, SUITE 1350 DALLAS TX 75240 0 0 0 1 Affiliate 0001425210 McLean David J. C/O SEVIN ROSEN FUNDS 13455 NOEL ROAD, SUITE 1670 DALLAS TX 75240 0 0 0 1 Affiliate 0001205949 OXAAL JOHN T C/O SEVIN ROSEN FUNDS 13455 NOEL ROAD, SUITE 1670 DALLAS TX 75240 0 0 0 1 Affiliate 0001066600 SCHUELE ALAN R C/O SEVIN ROSEN FUNDS 13455 NOEL ROAD, SUITE 1670 DALLAS TX 75240 0 0 0 1 Affiliate 0001205951 STURIALE NICHOLAS G C/O SEVIN ROSEN FUNDS 13455 NOEL ROAD, SUITE 1670 DALLAS TX 75240 0 0 0 1 Affiliate Common Stock 2015-08-11 4 S 0 115358 40.4026 D 1909125 I See Footnote Common Stock 2015-08-12 4 S 0 97109 40.0314 D 1812016 I See Footnote Common Stock 2015-08-12 4 J 0 1795752 0 D 16264 I See Footnote Common Stock 2015-08-12 4 J 0 42 0 A 16306 I See Footnote Common Stock 2015-08-12 4 J 0 4115 0 A 8662 D Common Stock 2015-08-12 4 J 0 1259 0 A 2651 D Common Stock 2015-08-12 4 J 0 3316 0 A 6980 D Common Stock 2015-08-12 4 J 0 3316 0 A 6980 D Common Stock 2015-08-15 4 J 0 2517 0 A 5299 D Common Stock 2015-08-12 4 J 0 2118 0 A 4458 D Common Stock 2015-08-12 4 J 0 4115 0 A 8662 D Common Stock 2015-08-12 4 J 0 2118 0 A 4458 D The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $41.90 to $40.00 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities And Exchange Commission, upon request, full information regarding the number of shares sold at each separate price. Total Common Shares of 1,909,125 represents 46 shares owned directly by SRB Associates IX L.P. ("SRBAIX"), 1,860,948 shares owned directly by Sevin Rosen Fund IX L.P. ("SRFIX"), 48,131 shares owned directly by Sevin Rosen IX Affiliates Fund L.P. ("SRFIX AFF"). John V. Jaggers ("Jaggers"), Jon W. Bayless ("Bayless") Stephen L. Domenik, ("Domenik"), Jackie R.Kimzey ("Kimzey") David J. McLean ("McLean"), John T. Oxaal ("Oxaal"), Alan R. Schuele ("Schuele") and Nicholas G. Sturiale ("Sturiale") are members of the general partner of SRBAIX, the general partner of SRFIX and SRIX AFF, and as members are deemed to have shared voting and dispositive power of the shares and disclaim beneficial ownership of these shares except to the extent of his proportionate interest in these shares. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $40.26 to $40.00 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities And Exchange Commission, upon request, full information regarding the number of shares sold at each separate price. Total Common Shares of 1,812,016 represents 46 shares owned directly by SRBAIX, 1,765,877 shares owned directly by SRFIX and 46,093 shares owned directly by SRFIX AFF. Jaggers, Bayless, Domenik, Kimzey, McLean, Oxaal, Schuele and Sturiale are members of the general partner of SRBAIX, the general partner of SRFIX and SRIX AFF, and as members are deemed to have shared voting and dispositive power of the shares and disclaim beneficial ownership of these shares except to the extent of his proportionate interest in these shares. Represents a pro-rata in-kind distribution, without additional consideration, of 1,750,000 shares of Common Stock of the Issuer by SRFIX and 45,752 shares of Common Stock of the Issuer by SRIXAFF. Total Common Shares of 16,264 represents 46 shares owned directly by SRBAIX, 15,877 shares owned directly by SRFIX and 341 shares owned directly by SRIX AFF. Jaggers, Bayless, Domenik, Kimzey, McLean, Oxaal, Schuele and Sturiale are members of the general partner of SRBAIX, the general partner of SRFIX and SRIX AFF, and as members are deemed to have shared voting and dispositive power of the shares and disclaim beneficial ownership of these shares except to the extent of his proportionate interest in these shares. Represents the receipt of shares by SRBAIX of Common Stock of the Issuer by virtue of the pro rata in-kind distribution described in footnote (5) above. Total Common Shares of 16,306 represents 88 shares owned directly by SRBAIX, 15,877 shares owned directly by SRFIX and 341 shares owned directly by SRIX AFF. Jaggers, Bayless, Domenik, Kimzey, McLean, Oxaal, Schuele and Sturiale are members of the general partner of SRBAIX, the general partner of SRFIX and SRIX AFF, and as members are deemed to have shared voting and dispositive power of the shares and disclaim beneficial ownership of these shares except to the extent of his proportionate interest in these shares. Represents the receipt of shares by Jaggers of Common Stock of the Issuer by virtue of the pro rata in-kind distribution described in footnote (5) above. Represents the receipt of shares by Bayless of Common Stock of the Issuer by virtue of the pro rata in-kind distribution described in footnote (5) above. Represents the receipt of shares by Domenik of Common Stock of the Issuer by virtue of the pro rata in-kind distribution described in footnote (5) above. Represents the receipt of shares by Kimzey of Common Stock of the Issuer by virtue of the pro rata in-kind distribution described in footnote (5) above. Represents the receipt of shares by McLean of Common Stock of the Issuer by virtue of the pro rata in-kind distribution described in footnote (5) above. Represents the receipt of shares by Oxaal of Common Stock of the Issuer by virtue of the pro rata in-kind distribution described in footnote (5) above. Represents the receipt of shares by Schuele of Common Stock of the Issuer by virtue of the pro rata in-kind distribution described in footnote (5) above. Represents the receipt of shares by Sturiale of Common Stock of the Issuer by virtue of the pro rata in-kind distribution described in footnote (5) above. John V. Jaggers 2015-08-13 John V. Jaggers, As Attorney-In-Fact For Jon W. Bayless 2015-08-13 John V. Jaggers, As Attorney-In-Fact For Stephen L. Domenik 2015-08-13 John V. Jaggers, As Attorney-In-Fact For Jackie R. Kimzey 2015-08-13 John V. Jaggers, As Attorney-In-Fact For David J. McLean 2015-08-13 John V. Jaggers, As Attorney-In-Fact For John T. Oxaal 2015-08-13 John V. Jaggers, As Attorney-In-Fact For Alan R. Schuele 2015-08-13 John V. Jaggers, As Attorney-In-Fact For Nicholas G. Sturiale 2015-08-13