0001209191-16-148271.txt : 20161103 0001209191-16-148271.hdr.sgml : 20161103 20161103183946 ACCESSION NUMBER: 0001209191-16-148271 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161101 FILED AS OF DATE: 20161103 DATE AS OF CHANGE: 20161103 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 FISCAL YEAR END: 1231 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: Smith Jeffrey T L CENTRAL INDEX KEY: 0001604800 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36431 FILM NUMBER: 161973231 MAIL ADDRESS: STREET 1: 11804 NORTH CREEK PARKWAY SOUTH CITY: BOTHELL STATE: WA ZIP: 98011 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-11-01 0 0001423824 ALDER BIOPHARMACEUTICALS INC ALDR 0001604800 Smith Jeffrey T L 11804 NORTH CREEK PARKWAY SOUTH BOTHELL WA 98011 0 1 0 0 Sr. VP Translational Medicine Common Stock 2016-11-01 4 M 0 3000 1.65 A 3000 D Common Stock 2016-11-01 4 S 0 2600 24.2623 D 400 D Common Stock 2016-11-01 4 S 0 400 24.875 D 0 D Stock Option (Right to Buy) 1.65 2016-11-01 4 M 0 3000 0.00 D 2018-07-22 Common Stock 3000 24363 D The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 14, 2016. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 14, 2016. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.80 to $24.75, 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 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.80 to $24.95, 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 4 to this Form 4. The shares subject to this stock option are fully vested. /s/ Jeffrey T. L. Smith 2016-11-03