SEC Form 4 · accession 0001179110-15-009364
ALDER BIOPHARMACEUTICALS INC · ALDR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen M Dow
Director · 10% Owner
Period of report
Jun 4, 2015
Accepted (ET)
Jun 8, 2015 · 6:09 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 | 8,962 | $0.00 | A | 2,298,563 | I | See Footnote (2) |
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.
- F2Total Common Shares of 2,298,563 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"), and 274,080 shares owned directly by The Dow Family Trust the ("Dow Trust"). Reporting person is a member of the general partner of SRBAIX, the general partner of SRFIX and SRIX AFF, and as a member is deemed to have shared voting and dispositive power of the shares held by SRFIX and SRIX AFF, and disclaims beneficial ownership except to the extent of his proportionate interest in these shares. Reporting person is a trustee of the Dow Trust.