SEC Form 4 · accession 0001179110-15-009363
ALDER BIOPHARMACEUTICALS INC · ALDR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Jon W Bayless
10% Owner
John V Jaggers
10% Owner
Alan R Schuele
10% Owner
Stephen L Domenik
10% Owner
Jackie R Kimzey
10% Owner
John T Oxaal
10% Owner
Nicholas G Sturiale
10% Owner
David J. McLean
10% Owner
Period of report
Jun 4, 2015
Accepted (ET)
Jun 8, 2015 · 6:08 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 StockF2 | Jun 4, 2015 | J | 4,547 | $0.00 | A | 4,547 | D | |
| Common StockF3 | Jun 4, 2015 | J | 1,392 | $0.00 | A | 1,392 | D | |
| Common StockF4 | Jun 4, 2015 | J | 3,664 | $0.00 | A | 3,664 | D | |
| Common StockF5 | Jun 4, 2015 | J | 3,664 | $0.00 | A | 3,664 | D | |
| Common StockF6 | Jun 4, 2015 | J | 2,782 | $0.00 | A | 2,782 | D | |
| Common StockF7 | Jun 4, 2015 | J | 2,340 | $0.00 | A | 2,340 | D | |
| Common StockF8 | Jun 4, 2015 | J | 4,547 | $0.00 | A | 4,547 | D | |
| Common StockF9 | Jun 4, 2015 | J | 2,340 | $0.00 | A | 2,340 | D | |
| Common StockF10 | holding | — | — | — | 2,024,483 | I | See Footnote (10) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a pro rata in-kind distribution, without additional consideration, of 1,973,885 shares of Common Stock of the Issuer by Sevin Rosen Fund IX L.P. and 50,552 shares of Common Stock of the Issuer by Sevin Rosen IX Affiliates Fund L.P.
- F10Total Common Shares of 2,024,483 represents 46 shares owned directly by SRB Associates IX L.P. ("SRBAIX"), 1,973,885 shares owned directly by Sevin Rosen Fund IX L.P. ("SRFIX") and 50,552 shares owned directly by Sevin Rosen IX Affiliates Fund L.P. ("SRIX AFF"). 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. Jaggers, Bayless, Domenik, Kimzey, McLean, Oxaal, Schuele and Sturiale are members of the general partner of SRBAIX, 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.
- F2Represents the receipt of shares by John V. Jaggers ("Jaggers") of Common Stock of the Issuer by virtue of the pro rata in-kind distribution described in footnote (1) above.
- F3Represents the receipt of shares by Jon W. Bayless("Bayless") of Common Stock of the Issuer by virtue of the pro rata in-kind distribution described in footnote (1) above.
- F4Represents the receipt of shares by Stephen L. Domenik ("Domenik") of Common Stock of the Issuer by virtue of the pro rata in-kind distribution described in footnote (1) above.
- F5Represents the receipt of shares by Jackie R. Kimzey ("Kimzey") of Common Stock of the Issuer by virtue of the pro rata in-kind distribution described in footnote (1) above.
- F6Represents the receipt of shares by David J. McLean ("McLean") of Common Stock of the Issuer by virtue of the pro rata in-kind distribution described in footnote (1) above.
- F7Represents the receipt of shares by John T. Oxaal ("Oxaal") of Common Stock of the Issuer by virtue of the pro rata in-kind distribution described in footnote (1) above.
- F8Represents the receipt of shares by Alan R. Schuele ("Schuele") of Common Stock of the Issuer by virtue of the pro rata in-kind distribution described in footnote (1) above.
- F9Represents the receipt of shares by Nicholas G. Sturiale ("Sturiale") of Common Stock of the Issuer by virtue of the pro rata in-kind distribution described in footnote (1) above.