0001209191-17-003020.txt : 20170109
0001209191-17-003020.hdr.sgml : 20170109
20170109174900
ACCESSION NUMBER: 0001209191-17-003020
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170105
FILED AS OF DATE: 20170109
DATE AS OF CHANGE: 20170109
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: Litton Mark James
CENTRAL INDEX KEY: 0001604834
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36431
FILM NUMBER: 17518814
MAIL ADDRESS:
STREET 1: 11804 NORTH CREEK PARKWAY SOUTH
CITY: BOTHELL
STATE: WA
ZIP: 98011
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2017-01-05
0
0001423824
ALDER BIOPHARMACEUTICALS INC
ALDR
0001604834
Litton Mark James
11804 NORTH CREEK PARKWAY SOUTH
BOTHELL
WA
98011
0
1
0
0
Chief Business Officer
Common Stock
2017-01-05
4
M
0
2216
1.265
A
102148
D
Common Stock
2017-01-05
4
S
0
2216
23.0019
D
99932
D
Common Stock
2017-01-06
4
M
0
5474
1.265
A
105406
D
Common Stock
2017-01-06
4
M
0
1326
1.65
A
106732
D
Common Stock
2017-01-06
4
S
0
6800
23.0176
D
99932
D
Common Stock
2017-01-09
4
M
0
500
1.65
D
100432
D
Common Stock
2017-01-09
4
S
0
500
23.00
D
99932
D
Common Stock
26000
I
Held in trust for the benefit of Reporting Person's minor child
Common Stock
26000
I
Held in trust for the benefit of Reporting Person's minor child
Common Stock
26000
I
Held in trust for the benefit of Reporting Person's minor child
Stock Option (Right to Buy)
1.265
2017-01-05
4
M
0
2216
0.00
D
2017-11-13
Common Stock
2216
5474
D
Stock Option (Right to Buy)
1.265
2017-01-06
4
M
0
5474
0.00
D
2017-11-13
Common Stock
5474
0
D
Stock Option (Right to Buy)
1.65
2017-01-06
4
M
0
1326
0.00
D
2018-07-22
Common Stock
1326
35037
D
Stock Option (Right to Buy)
1.65
2017-01-09
4
M
0
500
0.00
D
2018-07-22
Common Stock
500
34537
D
The 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.
Includes 365 shares acquired under the Issuer's 2014 Employee Stock Purchase Plan on November 30, 2016.
The 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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.00 to $23.05, 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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.00 to $23.15, 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 5 to this Form 4.
The option is fully vested.
/s/ Mark J. Litton
2017-01-09