0001209191-14-031998.txt : 20140507 0001209191-14-031998.hdr.sgml : 20140507 20140507200808 ACCESSION NUMBER: 0001209191-14-031998 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: Davidson Aaron CENTRAL INDEX KEY: 0001515825 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36431 FILM NUMBER: 14822599 MAIL ADDRESS: STREET 1: C/O H.I.G. CAPITAL STREET 2: 1450 BRICKELL AVENUE, 31ST FLOOR CITY: MIAMI STATE: FL ZIP: 33131 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2014-05-07 0 0001423824 ALDER BIOPHARMACEUTICALS INC ALDR 0001515825 Davidson Aaron C/O H.I.G. CAPITAL 1450 BRICKELL AVENUE, 31ST FLOOR MIAMI FL 33131 1 0 0 0 Series B Preferred Stock Common Stock 1342657 I By H.I.G. Venture Partners II, L.P. Series B Preferred Stock Common Stock 335664 I By H.I.G. Ventures - Alder, LLC Series C Preferred Stock Common Stock 404040 I By H.I.G. Venture Partners II, L.P. Series C Preferred Stock Common Stock 101010 I By H.I.G. Ventures - Adler, LLC Series D Preferred Stock Common Stock 318884 I By H.I.G. Venture Partners II, L.P. Series D Preferred Stock Common Stock 79721 I By H.I.G. Ventures - Alder, LLC 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. Mr. Davidson is managing director of H.I.G. BioVentures, an affiliate of H.I.G. Ventures Partners II, L.P. and H.I.G. Ventures - Alder, LLC. As a managing director of an affiliate of the H.I.G. Funds, Mr. Davidson shares voting and investment power over the shares held by the H.I.G. Funds and may be deemed to have indirect beneficial ownership of such shares. Mr. Davidson disclaims beneficial ownership of the shares held by the H.I.G. Funds except to the extent of any pecuniary interest therein. /s/ Aaron Davidson 2014-05-07