SEC Form 4 · accession 0001179110-15-012103
ALDER BIOPHARMACEUTICALS INC · ALDR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen M Dow
Director
Period of report
Aug 11, 2015
Accepted (ET)
Aug 13, 2015 · 7:49 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 | Aug 11, 2015 | S | 115,358 | $40.4026 | D | 2,183,205 | I | See Footnote |
| Common StockF3,F4 | Aug 12, 2015 | S | 97,109 | $40.0314 | D | 2,086,096 | I | See Footnote |
| Common StockF6 | Aug 12, 2015 | J | 1,795,752 | $0.00 | D | 290,344 | I | See Footnote |
| Common StockF7,F8 | Aug 12, 2015 | J | 8,110 | $0.00 | A | 298,454 | I | See Footnote |
| Common StockF9,F10 | Aug 12, 2015 | J | 42 | $0.00 | A | 298,496 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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.
- F10Total Common Shares of 298,496 represents 88 shares owned by SRB Associates IX L.P., 15,877 shares owned directly by SRFIX, 341 shares owned directly by SRIX AFF, and 282,190 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 disclaims beneficial ownership except to the extent of his proportionate interest in these shares. Reporting person is a trustee of the Dow Trust.
- F2Total Common Shares of 2,183,205 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") 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 disclaims beneficial ownership except to the extent of his proportionate interest in these shares. Reporting person is a trustee of the Dow Trust.
- F3The 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.
- F4Total Common Shares of 2,086,096 represents 46 shares owned directly by SRBAIX, 1,765,877 shares owned directly by SRFIX, 46,093 shares owned directly by SRFIX 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 disclaims beneficial ownership except to the extent of his proportionate interest in these shares. Reporting person is a trustee of the Dow Trust.
- F5Represents 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.
- F6Total Common Shares of 290,344 represents 46 shares owned by SRB Associates IX L.P., 15,877 shares owned directly by SRFIX, 341 shares owned directly by 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 disclaims beneficial ownership except to the extent of his proportionate interest in these shares. Reporting person is a trustee of the Dow Trust.
- F7Represents the receipt of shares by the Dow Trust of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution described in footnote (5) above.
- F8Total Common Shares of 298,454 represents 46 shares owned by SRB Associates IX L.P., 15,877 shares owned directly by SRFIX, 341 shares owned directly by SRIX AFF, and 282,190 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 disclaims beneficial ownership except to the extent of his proportionate interest in these shares. Reporting person is a trustee of the Dow Trust.
- F9Represents 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.