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