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