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