SEC Form 4 · accession 0001209191-17-041449
ALDER BIOPHARMACEUTICALS INC · ALDR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey T L Smith
Officer — Sr. VP Translational Medicine
Period of report
Jun 20, 2017
Accepted (ET)
Jun 22, 2017 · 6:12 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 | Jun 20, 2017 | M | 585 | $0.99 | A | 1,416 | D | |
| Common StockF2 | Jun 20, 2017 | S | 585 | $20.00 | D | 831 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F3 | $0.99 | Jun 20, 2017 | M | 585 | D | — | Apr 20, 2019 | Common Stock | 585 | 40,324 | D |
Explanation of responses
- F1The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 16, 2017.
- F2The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 16, 2017.
- F3The shares subject to this stock option are fully vested.