SEC Form 4 · accession 0001179110-15-008388
ALDER BIOPHARMACEUTICALS INC · ALDR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
SRB Associates IX L.P.
10% Owner
Sevin Rosen Fund IX L.P.
10% Owner
Sevin Rosen IX Affiliates Fund L.P.
10% Owner
Period of report
May 19, 2015
Accepted (ET)
May 21, 2015 · 5:53 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001423824
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | May 19, 2015 | S | 1,136,100 | $37.0213 | D | 4,048,874 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 1,136,100 Common Shares sold directly by Sevin Rosen Fund IX L.P. pursuant to Rule 144 under the Securities Act of 1933, as amended.
- F2The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $37.00 to $39.80, 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.
- F3Total Common Shares of 4,048,874 represents 3,947,770 shares owned directly by Sevin Rosen Fund IX L.P. ("SRFIX") and 101,104 shares owned directly by Sevin Rosen IX Affiliates Fund L.P. ("SRIX AFF"). SRB Associates IX L.P. ("SRBAIX") is the general partner of SRFIX and SRIX AFF, and in that capacity has shared voting and dispositive power over such shares. SRBAIX disclaims beneficial ownership of such shares except to the extent of its pecuniary interest.