0001209191-19-026035.txt : 20190425
0001209191-19-026035.hdr.sgml : 20190425
20190425185146
ACCESSION NUMBER: 0001209191-19-026035
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190423
FILED AS OF DATE: 20190425
DATE AS OF CHANGE: 20190425
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: 19768799
MAIL ADDRESS:
STREET 1: 11804 NORTH CREEK PARKWAY SOUTH
CITY: BOTHELL
STATE: WA
ZIP: 98011
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
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2019-04-23
0
0001423824
ALDER BIOPHARMACEUTICALS INC
ALDR
0001604800
Smith Jeffrey T L
11804 NORTH CREEK PARKWAY SOUTH
BOTHELL
WA
98011
0
1
0
0
Managing Director
Common Stock
2019-04-23
4
A
0
9288
0.00
A
10119
D
Common Stock
2019-04-25
4
D
0
4847
13.7251
D
5272
D
On January 2, 2018, the Reporting Person was granted restricted stock units which represented a contingent right to receive a maximum of 27,865 shares of Issuer's Common Stock (the "RSU"). Up to 9,288 shares subject to the RSU vest upon obtaining acceptance by the U.S. Food and Drug Administration (or any successor entity thereto) (the "FDA") of the first Biologics License Application submitted to the FDA by the Company or an affiliate seeking approval for the commercial sale and marketing of eptinezumab in the United States for review and certification by the Issuer's Compensation Committee that the achievement of such milestone had been achieved (the "FDA Filing Milestone") and the remaining shares subject to the RSU vest upon certain other performance criteria. On April 23, 2019, the Issuer's Compensation Committee certified that the FDA Milestone had been achieved, resulting in the vesting of 9,288 shares subject to the RSU.
Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of the RSU. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.721 to $13.8695, 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.
/s/ Alan Hambelton, Attorney-in-Fact
2019-04-25