SEC Form 4 · accession 0001209191-17-060971

ALDER BIOPHARMACEUTICALS INC · ALDR

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Business Officer

Period of report

Nov 13, 2017

Accepted (ET)

Nov 15, 2017 · 5:54 pm EST

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 Stock^F1	Nov 13, 2017	M	16,519	$1.65	A	116,451	D
Common Stock^F2,F3	Nov 13, 2017	S	16,519	$10.8049	D	99,932	D
Common Stock	holding	—	—		—	26,000	I	Held in trust for the benefit of Reporting Person's minor child
Common Stock	holding	—	—		—	26,000	I	Held in trust for the benefit of Reporting Person's minor child
Common Stock	holding	—	—		—	26,000	I	Held in trust for the benefit of Reporting Person's minor child

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to Buy)^F4	$1.65	Nov 13, 2017	M	16,519	D	—	Jul 22, 2018	Common Stock	16,519	0	D

F1The exercise of options reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 4, 2016.
F2The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 4, 2016.
F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.55 to $11.20, inclusive. The Reporting Person undertakes to provide to 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 within the range set forth in this footnote 3 to this Form 4.
F4The option is fully vested.