0001179110-14-007900.txt : 20140507 0001179110-14-007900.hdr.sgml : 20140507 20140507194701 ACCESSION NUMBER: 0001179110-14-007900 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140507 FILED AS OF DATE: 20140507 DATE AS OF CHANGE: 20140507 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ALDER BIOPHARMACEUTICALS INC CENTRAL INDEX KEY: 0001423824 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE BUSINESS ADDRESS: STREET 1: 11804 NORTH CREEK PARKWAY SOUTH CITY: BOTHELL STATE: WA ZIP: 98011 BUSINESS PHONE: 425-205-2900 MAIL ADDRESS: STREET 1: 11804 NORTH CREEK PARKWAY SOUTH CITY: BOTHELL STATE: WA ZIP: 98011 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STURIALE NICHOLAS G CENTRAL INDEX KEY: 0001205951 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36431 FILM NUMBER: 14822543 MAIL ADDRESS: STREET 1: C/O SEVIN ROSEN FUNDS STREET 2: 13455 NOEL RD CITY: DALLAS STATE: TX ZIP: 75240 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHUELE ALAN R CENTRAL INDEX KEY: 0001066600 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36431 FILM NUMBER: 14822544 MAIL ADDRESS: STREET 1: C/O SEVIN ROSEN FUNDS STREET 2: 13455 NOEL RD #1670 CITY: DALLAS STATE: TX ZIP: 75240 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OXAAL JOHN T CENTRAL INDEX KEY: 0001205949 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36431 FILM NUMBER: 14822545 MAIL ADDRESS: STREET 1: C/O SEVIN ROSEN FUNDS STREET 2: 13455 NOEL RD CITY: DALLAS STATE: TX ZIP: 75240 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: McLean David J. CENTRAL INDEX KEY: 0001425210 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36431 FILM NUMBER: 14822546 MAIL ADDRESS: STREET 1: SEVIN ROSEN FUNDS STREET 2: 13455 NOEL ROAD, SUITE 1670 CITY: DALLAS STATE: TX ZIP: 75240 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KIMZEY JACKIE R CENTRAL INDEX KEY: 0001189257 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36431 FILM NUMBER: 14822547 MAIL ADDRESS: STREET 1: C/O SEVIN ROSEN FUNDS STREET 2: 13455 NOEL RD #1670 CITY: DALLAS STATE: TX ZIP: 75240 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BAYLESS JON W CENTRAL INDEX KEY: 0001026496 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36431 FILM NUMBER: 14822549 MAIL ADDRESS: STREET 1: C/O SEVIN ROSEN FUNDS STREET 2: 13455 NOEL RD #1670 CITY: DALLAS STATE: TX ZIP: 75240 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DOMENIK STEPHEN L CENTRAL INDEX KEY: 0001189256 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36431 FILM NUMBER: 14822548 MAIL ADDRESS: STREET 1: C/O SEVIN ROSEN FUNDS STREET 2: 13455 NOEL RD #1670 CITY: DALLAS STATE: TX ZIP: 75240 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JAGGERS JOHN V CENTRAL INDEX KEY: 0001033563 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36431 FILM NUMBER: 14822550 MAIL ADDRESS: STREET 1: C/O SEVIN ROSEN FUNDS STREET 2: 13455 NOEL ROAD, SUITE 1670 CITY: DALLAS STATE: TX ZIP: 75240 3 1 edgar.xml FORM 3 - X0206 3 2014-05-07 0 0001423824 ALDER BIOPHARMACEUTICALS INC ALDR 0001033563 JAGGERS JOHN V C/O SEVIN ROSEN FUNDS 13455 NOEL ROAD, SUITE 1670 DALLAS TX 75240 0 0 1 0 0001026496 BAYLESS JON W C/O SEVIN ROSEN FUNDS 13455 NOEL ROAD, SUITE 1670 DALLAS TX 75240 0 0 1 0 0001189256 DOMENIK STEPHEN L C/O SEVIN ROSEN FUNDS 13455 NOEL ROAD, SUITE 1670 DALLAS TX 75240 0 0 1 0 0001189257 KIMZEY JACKIE R SEVIN ROSEN FUNDS 13455 NOEL ROAD, SUITE 1670 DALLAS TX 75240 0 0 1 0 0001425210 McLean David J. C/O SEVIN ROSEN FUNDS 13455 NOEL ROAD, SUITE 1670 DALLAS TX 75240 0 0 1 0 0001205949 OXAAL JOHN T C/O SEVIN ROSEN FUNDS 13455 NOEL ROAD, SUITE 1670 DALLAS TX 75240 0 0 1 0 0001066600 SCHUELE ALAN R C/O SEVIN ROSEN FUNDS 13455 NOEL ROAD, SUITE 1670 DALLAS TX 75240 0 0 1 0 0001205951 STURIALE NICHOLAS G C/O SEVIN ROSEN FUNDS 13455 NOEL ROAD, SUITE 1670 DALLAS TX 75240 0 0 1 0 Series A Preferred Stock Common Stock 2226172 I See Footnote Series B Preferred Stock Common Stock 1776222 I See Footnote Series C Preferred Stock Common Stock 925925 I See Footnote Series D Preferred Stock Common Stock 265117 I See Footnote Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converts into Common Stock on a 1-for-5.5 basis immediately prior to the closing of the Issuer's initial public offering of common stock and has no expiration date. Total Series A Preferred shares of 2,226,172 represents 2,176,903 shares owned directly by Sevin Rosen Fund IX L.P. ("SRFIX"), 43,293 shares owned directly by Sevin Rosen IX Affiliates Fund L.P. ("SRIX AFF") and 5,976 shares owned directly by Sevin Rosen Bayless Management Company ("SRBMC"). SRB Associates IX L.P. ("SRBAIX") is the general partner of SRFIX and SRIX AFF, and in that capacity has shared voting and dispositive power over such shares. SRBAIX disclaims beneficial ownership of such shares except to the extent of its pecuniary interest. Total Series B Preferred shares of 1,776,222 represents 1,739,149 shares owned directly by SRFIX, 34,587 shares owned directly by SRIX AFF and 2,486 shares owned directly by SRBMC. SRBAIX is the general partner of SRFIX and SRIX AFF, and in that capacity has shared voting and dispositive power over such shares. SRBAIX disclaims beneficial ownership of such shares except to the extent of its pecuniary interest. Total Series C Preferred shares of 925,925 represents 907,870 shares owned directly by SRFIX, and 18,055 shares owned directly by SRIX AFF. SRBAIX is the general partner of SRFIX and SRIX AFF, and in that capacity has shared voting and dispositive power over such shares. SRBAIX disclaims beneficial ownership of such shares except to the extent of its pecuniary interest. Total Series D Preferred shares of 265,117 represents 259,948 shares directly owned by SRFIX, and 5,169 shares directly owned by SRIX AFF. SRBAIX is the general partner of SRFIX and SRIX AFF, and in that capacity has shared voting and dispositive power over such shares. SRBAIX disclaims beneficial ownership of such shares except to the extent of its pecuniary interest. John V. Jaggers ("Jaggers"), Jon W. Bayless ("Bayless"), Stephen L. Domenik ("Domenik"), Jackie R. Kimzey ("Kimzey"), David J. McLean ("McLean"), John T. Oxaal ("Oxaal") and Nicholas G. Schuele (Sturiale"), are members of the general partner of SRBAIX, the general partner of SRFIX and SRIX AFF, and as members are deemed to have shared voting and dispositive power of the shares and disclaim beneficial ownership of these shares except to the extent of his proportionate interest in these shares. Jaggers, Bayless, Domenik, Kimzey, McLean, Oxaal, Schuele and Sturiale are directors of SRBMC and are deemed to have shared voting and dispositive power of these shares and disclaim beneficial ownership with no pecuniary interest in these shares. Jaggers, Bayless, Domenik, Kimzey, McLean, Oxaal, Schuele and Sturiale are members of the general partner of SRBAIX, the general partner of SRFIX and SRIX AFF, and as members are deemed to have shared voting and dispositive power of the shares and disclaim beneficial ownership of these shares except to the extent of his proportionate interest in these shares. John V. Jaggers 2014-05-07 John V. Jaggers, As Attorney-In-Fact For Jon W. Bayless 2014-05-07 John V. Jaggers, As Attorney-In-Fact For Stephen L. Domenik 2014-05-07 John V. Jaggers, As Attorney-In-Fact For Jackie R. Kimzey 2014-05-07 John V. Jaggers, As Attorney-In-Fact For David J. McLean 2014-05-07 John V. Jaggers, As Attorney-In-Fact For John T. Oxaal 2014-05-07 John V. Jaggers, As Attorney-In-Fact For Alan R. Schuele 2014-05-07 John V. Jaggers, As Attorney-In-Fact For Nicholas G. Sturiale 2014-05-07