0001209191-14-032021.txt : 20140507 0001209191-14-032021.hdr.sgml : 20140507 20140507203107 ACCESSION NUMBER: 0001209191-14-032021 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: Delphi Management Partners VII, L.L.C. CENTRAL INDEX KEY: 0001457493 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36431 FILM NUMBER: 14822658 BUSINESS ADDRESS: STREET 1: 3000 SAND HILL ROAD, 1-135 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-854-9650 MAIL ADDRESS: STREET 1: 3000 SAND HILL ROAD, 1-135 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PAKIANATHAN DEEPIKA CENTRAL INDEX KEY: 0001270734 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36431 FILM NUMBER: 14822659 MAIL ADDRESS: STREET 1: 3000 SAND HILL RD, BLDG 1, STE 135 STREET 2: C/O DELPHI VENTURES CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BOCHNOWSKI JAMES J CENTRAL INDEX KEY: 0001255743 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36431 FILM NUMBER: 14822660 MAIL ADDRESS: STREET 1: C/O DELPHI VENTURES STREET 2: 3000 SAND HILL ROAD STE 135 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DOUGLASS DAVID L CENTRAL INDEX KEY: 0001271389 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36431 FILM NUMBER: 14822661 MAIL ADDRESS: STREET 1: 3000 SAND HILL RD STREET 2: BUILDING 1, SUITE 135 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROEDER DOUGLAS A CENTRAL INDEX KEY: 0001270735 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36431 FILM NUMBER: 14822662 MAIL ADDRESS: STREET 1: 3000 DAND HILL RD, BLDG 1, STE 135 STREET 2: C/O DELPHI VENTURES CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DELPHI VENTURES VII L P CENTRAL INDEX KEY: 0001336922 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36431 FILM NUMBER: 14822664 BUSINESS ADDRESS: STREET 1: 3000 SAND HILL RD STREET 2: BUILDING 1 SUITE 135 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-854-9650 MAIL ADDRESS: STREET 1: 3000 SAND HILL RD STREET 2: BUILDING 1 SUITE 135 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DELPHI BIOINVESTMENTS VII LP CENTRAL INDEX KEY: 0001346198 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36431 FILM NUMBER: 14822663 BUSINESS ADDRESS: STREET 1: 3000 SAND HILL ROAD STREET 2: BUILDING 1 STE 135 CITY: MENLO PARK STATE: CA ZIP: 94025 MAIL ADDRESS: STREET 1: 3000 SAND HILL ROAD STREET 2: BUILDING 1 STE 135 CITY: MENLO PARK STATE: CA ZIP: 94025 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2014-05-07 0 0001423824 ALDER BIOPHARMACEUTICALS INC ALDR 0001457493 Delphi Management Partners VII, L.L.C. C/O DELPHI VENTURES 3000 SAND HILL RD., BLDG. 1, SUITE 135 MENLO PARK CA 94025 0 0 1 0 0001336922 DELPHI VENTURES VII L P 3000 SAND HILL ROAD BUILDING 1, SUITE 135 MENLO PARK CA 94025 0 0 1 0 0001346198 DELPHI BIOINVESTMENTS VII LP 3000 SAND HILL ROAD BUILDING 1, SUITE 135 MENLO PARK CA 94025 0 0 1 0 0001270735 ROEDER DOUGLAS A C/O DELPHI VENTURES 3000 SAND HILL RD., BLDG., SUITE 135 MENLO PARK CA 94025 0 0 1 0 0001271389 DOUGLASS DAVID L C/O DELPHI VENTURES 3000 SAND HILL RD., BLDG. 1, SUITE 135 MENLO PARK CA 94025 0 0 1 0 0001255743 BOCHNOWSKI JAMES J C/O DELPHI VENTURES 3000 SAND HILL RD., BLDG. 1, SUITE 135 MENLO PARK CA 94025 0 0 1 0 0001270734 PAKIANATHAN DEEPIKA C/O DELPHI VENTURES 3000 SAND HILL RD., BLDG 1, SUITE 135 MENLO PARK CA 94025 1 0 1 0 Series C Preferred Stock Common Stock 2083541 I By Delphi Ventures VII, L.P. Series D Preferred Stock Common Stock 380353 I By Delphi Ventures VII, L.P. Series C Preferred Stock Common Stock 20835 I By Delphi BioInvestments VII, L.P. Series D Preferred Stock Common Stock 3803 I By Delphi BioInvestments VII, L.P. The preferred stock is convertible at any time, at the holder's election, and has no expiration date. The preferred stock will automatically convert into common stock on a 1-to-1 basis upon closing of the initial public offering of the issuer. The reported securities are directly owned by Delphi Ventures VII, L.P. ("DV VII"). Delphi Management Partners VII, L.L.C. ("DMP VII") is the general partner of DV VII and may be deemed to have sole voting and dispositive power over the securities held by DV VII. Douglas A. Roeder, James J. Bochnowski, David L. Douglass and Deepika R. Pakianathan, Ph.D. are the managing members of DMP VII and may be deemed to share voting and dispositive power over the securities held by DV VII. Such persons and entities disclaim beneficial ownership of the securities held by DV VII, except to the extent of any pecuniary interest therein. The reported securities are directly owned by Delphi BioInvestments VII, L.P. ("DBI VII"). DMP VII is the general partner of DBI VII and may be deemed to have sole voting and dispositive power over the securities held by DBI VII. Douglas A. Roeder, James J. Bochnowski, David L. Douglass and Deepika R. Pakianathan, Ph.D. are the managing members of DMP VII and may be deemed to share voting and dispositive power over the securities held by DBI VII. Such persons and entities disclaim beneficial ownership of the securities held by DBI VII, except to the extent of any pecuniary interest therein. By: /s/ Matthew T. Potter, Attorney-in-Fact for: Delphi Management Partners VII, L.L.C. Delphi Ventures VII, L.P. Delphi BioInvestments VII, L.P. Deepika R. Pakianathan Douglas A. Roder David L. Douglass James J. Bochnowski 2014-05-07