0001209191-14-034304.txt : 20140515
0001209191-14-034304.hdr.sgml : 20140515
20140515171624
ACCESSION NUMBER: 0001209191-14-034304
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140513
FILED AS OF DATE: 20140515
DATE AS OF CHANGE: 20140515
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: H.I.G. Venture Partners II, L.P.
CENTRAL INDEX KEY: 0001606967
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36431
FILM NUMBER: 14848863
BUSINESS ADDRESS:
STREET 1: 1450 BRICKELL AVENUE
STREET 2: 31ST FLOOR
CITY: MIAMI
STATE: FL
ZIP: 33131
BUSINESS PHONE: (305) 379-2322
MAIL ADDRESS:
STREET 1: 1450 BRICKELL AVENUE
STREET 2: 31ST FLOOR
CITY: MIAMI
STATE: FL
ZIP: 33131
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: H.I.G. Ventures - Alder, LLC
CENTRAL INDEX KEY: 0001606968
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36431
FILM NUMBER: 14848864
BUSINESS ADDRESS:
STREET 1: 1450 BRICKELL AVENUE
STREET 2: 31ST FLOOR
CITY: MIAMI
STATE: FL
ZIP: 33131
BUSINESS PHONE: (305) 379-2322
MAIL ADDRESS:
STREET 1: 1450 BRICKELL AVENUE
STREET 2: 31ST FLOOR
CITY: MIAMI
STATE: FL
ZIP: 33131
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2014-05-13
0
0001423824
ALDER BIOPHARMACEUTICALS INC
ALDR
0001606967
H.I.G. Venture Partners II, L.P.
C/O H.I.G. CAPITAL
1450 BRICKELL, 31ST FLOOR
MIAMI
FL
33131
0
0
1
0
0001606968
H.I.G. Ventures - Alder, LLC
C/O H.I.G. CAPITAL
1450 BRICKELL AVENUE, 31ST FLOOR
MIAMI
FL
33131
0
0
1
0
Common Stock
2014-05-13
4
C
0
2065581
A
2065581
D
Common Stock
2014-05-13
4
C
0
516395
A
516395
D
Series B Preferred Stock
2014-05-13
4
C
0
1342657
0.00
D
Common Stock
1342657
0
D
Series C Preferred Stock
2014-05-13
4
C
0
404040
0.00
D
Common Stock
404040
0
D
Series D Preferred Stock
2014-05-13
4
C
0
318884
0.00
D
Common Stock
318884
0
D
Series B Prefered Stock
2014-05-13
4
C
0
335664
0.00
D
Common Stock
335664
0
D
Series C Preferred Stock
2014-05-13
4
C
0
101010
0.00
D
Common Stock
101010
0
D
Series D Preferred Stock
2014-05-13
4
C
1
79721
0.00
D
Common Stock
79721
0
D
The preferred stock converted into common stock on a 1-for-1 basis upon the closing of the issuer's initial public offering and had no expiration date.
H.I.G. Venture Advisors, II LLC is the general partner of H.I.G. Venture Partners II, L.P. and has sole voting and investment power with respect to the shares held by H.I.G. Venture Partners II, L.P. H.I.G. Venture Advisors, II LLC disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein.
H.I.G.-GPII, Inc. is the manager of H.I.G. Ventures - Alder, LLC, and has shared voting and dispositive power with respect to the shares held by H.I.G. Ventures - Alder, LLC. H.I.G.-GPII, Inc. disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein. Sami Mnaymneh and Anthony Tamer, the co-presidents, directors and sole sharenholders of H.I.G.-GPII, Inc., have shared voting and dispositive power with respect to the shares held by H.I.G. Ventures-Alder, LLC, but disclaim beneficial ownership of such shares except to the extent of their pecuniary interests therein.
/s/ Claudia LaFollette, Attorney-in-Fact for H.I.G. Venture Partners II, L.P. and H.I.G. Ventures - Alder, LLC
2014-05-15
EX-24.4_522831
2
poa.txt
POA DOCUMENT
POWER OF ATTORNEY
Know all by these presents that the undersigned hereby constitutes and appoints
each of Randall C. Schatzman and Larry Benedict of Alder BioPharmaceuticals,
Inc. (the "Company") and Julia Conway, Michael Pirog and Claudia LaFollette of
Cooley LLP, signing individually, the undersigned's true and lawful attorneys-in
fact and agents to:
(1) prepare, execute in the undersigned's name and on the undersigned's behalf,
and submit to the Securities and Exchange Commission (the "SEC") a Form ID,
including amendments thereto, and any other documents necessary or appropriate
to obtain codes and passwords enabling the undersigned to make electronic
filings with the SEC of reports required by Section 16(a) of the Securities
Exchange Act of 1934 or any rule or regulation thereunder;
(2) prepare, execute in the undersigned's name and on the undersigned's behalf,
and submit to the SEC Forms 3, 4 and 5 (including amendments thereto and joint
filing agreements in connection therewith) in accordance with Section 16(a) of
the Securities Exchange Act of 1934 and the rules thereunder;
(3) do and perform any and all acts for and on behalf of the undersigned that
may be necessary or desirable to prepare and execute any such Form 3, 4 or 5
(including amendments thereto and joint filing agreements in connection
therewith) and file such Forms with the SEC and any stock exchange,
self-regulatory association or any other authority; and
(4) take any other action of any type whatsoever in connection with the
foregoing that, in the opinion of such attorney-in-fact, may be of benefit to,
in the best interest of, or legally required of the undersigned, it being
understood that the documents executed by the attorney-in-fact on behalf of the
undersigned pursuant to this Power of Attorney shall be in such form and shall
contain such terms and conditions as the attorney-in-fact may approve in the
attorney-in-fact's discretion.
The undersigned hereby grants to each such attorney in fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that such attorney in fact, or such attorney
in fact's substitute or substitutes, shall lawfully do or cause to be done by
virtue of this power of attorney and the rights and powers herein granted. The
undersigned acknowledges that the foregoing attorneys-in-fact, and their
substitutes, in serving in such capacity at the request of the undersigned, are
not assuming (nor is the Company assuming) any of the undersigned's
responsibilities to comply with Section 16 of the Securities Exchange Act of
1934.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4 and 5 with respect to the
undersigned's holdings of and transactions in securities issued by the Company,
unless earlier revoked by the undersigned in a signed writing delivered to the
Company and the attorneys-in fact. This Power of Attorney revokes any other
power of attorney that the undersigned has previously granted to representatives
of the Company and Cooley LLP.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of the date written below.
Dated: April 2, 2014
By: /s/ Richard Siegel
VP and General Counsel H.I.G. Venture Partners II, L.P.
Signature Printed Name
POWER OF ATTORNEY
Know all by these presents that the undersigned hereby constitutes and appoints
each of Randall C. Schatzman and Larry Benedict of Alder BioPharmaceuticals,
Inc. (the "Company") and Julia Conway, Michael Pirog and Claudia LaFollette of
Cooley LLP, signing individually, the undersigned's true and lawful attorneys-in
fact and agents to:
(1) prepare, execute in the undersigned's name and on the undersigned's behalf,
and submit to the Securities and Exchange Commission (the "SEC") a Form ID,
including amendments thereto, and any other documents necessary or appropriate
to obtain codes and passwords enabling the undersigned to make electronic
filings with the SEC of reports required by Section 16(a) of the Securities
Exchange Act of 1934 or any rule or regulation thereunder;
(2) prepare, execute in the undersigned's name and on the undersigned's behalf,
and submit to the SEC Forms 3, 4 and 5 (including amendments thereto and joint
filing agreements in connection therewith) in accordance with Section 16(a) of
the Securities Exchange Act of 1934 and the rules thereunder;
(3) do and perform any and all acts for and on behalf of the undersigned that
may be necessary or desirable to prepare and execute any such Form 3, 4 or 5
(including amendments thereto and joint filing agreements in connection
therewith) and file such Forms with the SEC and any stock exchange,
self-regulatory association or any other authority; and
(4) take any other action of any type whatsoever in connection with the
foregoing that, in the opinion of such attorney-in-fact, may be of benefit to,
in the best interest of, or legally required of the undersigned, it being
understood that the documents executed by the attorney-in-fact on behalf of the
undersigned pursuant to this Power of Attorney shall be in such form and shall
contain such terms and conditions as the attorney-in-fact may approve in the
attorney-in-fact's discretion.
The undersigned hereby grants to each such attorney in fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that such attorney in fact, or such attorney
in fact's substitute or substitutes, shall lawfully do or cause to be done by
virtue of this power of attorney and the rights and powers herein granted. The
undersigned acknowledges that the foregoing attorneys-in-fact, and their
substitutes, in serving in such capacity at the request of the undersigned, are
not assuming (nor is the Company assuming) any of the undersigned's
responsibilities to comply with Section 16 of the Securities Exchange Act of
1934.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4 and 5 with respect to the
undersigned's holdings of and transactions in securities issued by the Company,
unless earlier revoked by the undersigned in a signed writing delivered to the
Company and the attorneys-in fact. This Power of Attorney revokes any other
power of attorney that the undersigned has previously granted to representatives
of the Company and Cooley LLP.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of the date written below.
Dated: April 2, 2014
By: /s/ Richard Siegel
VP and General Counsel H.I.G. Ventures - Alder, LLC
Signature Printed Name