SEC Form 4 · accession 0001179110-15-012849
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 31, 2015
Accepted (ET)
Sep 2, 2015 · 2:51 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 | Aug 31, 2015 | S | 16,218 | $38.7508 | D | 282,278 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 15,877 Common Shares sold directly by Sevin Rosen Fund IX L.P. and 341 Common Shares sold directly by Sevin Rosen IX Affiliates Fund 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 pricing ranging from $38.61 to $38.92 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 282,278 represents 88 shares owned by SRB Associates IX L.P. and 282,190 shares owned directly by The Dow Family Trust ("Dow Trust"). Reporting person is a member of the general partner of SRBAIX and disclaims beneficial ownership except to the extent of his proportionate interest in these shares. Reporting person is a trustee of the Dow Trust.