Form D
View Original Filing
Notice of Exempt Offering of Securities
Item 1. Issuer's Identity
Name of Issuer:
ALDER BIOPHARMACEUTICALS INC
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
Over Five Years Ago
Item 2 Issuer Principal Place of Business and Contact Information
11804 NORTH CREEK PARKWAY SOUTH
BOTHELL, WA 98011
Phone Number:
subscription required
Item 3. Related Persons
Name
RANDALL SCHATZMAN
Address
subscription required
Relationship(s)
- EXECUTIVE OFFICER
- DIRECTOR
Clarification of Response
Item 3. Related Persons
Name
PAUL CARTER
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
STEPHEN DOW
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
ALAN BRUCE MONTGOMERY
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
DEEPIKA PAKIANATHAN
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
HEATHER PRESTON
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
CLAY SIEGALL
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
WENDY YARNO
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
JOHN LATHAM
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
MARK JAMES LITTON
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
ELISABETH SANDOVAL
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
LARRY BENEDICT
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
JEFFREY SMITH
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
JAMES BUCHER
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
RANDAL HASSLER
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
PAUL CLEVELAND
Address
subscription required
Relationship(s)
Clarification of Response
Item 4. Industry Group
BIOTECHNOLOGY
Item 5. Issuer Size
Revenue Range (for issuer not specifying "hedge" or "other investment" fund in Item 4 above)
DECLINE TO DISCLOSE
Item 6. Federal Exemptions and Exclusions Claimed
Item 7. Type of Filing
New Notice
Date of First Sale in this Offering:
01/12/2018
Item 8. Duration of Offering
Does the issuer intend this offering to last more than one year?
Yes
Item 9. Type(s) of Securities Offered
- Equity
- Option, Warrant or Other Right to Acquire Another Security
- Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security
Item 10. Business Combination Transaction
Is this offering being made in connection with a business combination
transaction, such as a merger, acquisition or exchange offer?
No
Clarification of Response
Item 11. Minimum Investment
Minimum Investment accepted from any outside investor
0
Item 13. Offering and Sales Amounts
Total Offering Amount
260341000
Total Amount Sold
99999952
Total Remaining to be Sold
160341048
Clarification of Response
THE TOTAL OFFERING AMOUNT INCLUDES THE VALUE OF A WARRANT THAT THE ISSUER IS COMMITTED TO ISSUE.
Item 14. Investors
Securities in the offering have been or may be sold to persons
who do not qualify as accredited investors,
Number of non-accredited investors who already have invested in the offering:
Total number of investors who already have invested in the offering:
6
Item 15. Sales Commissions and Finders' Fees Expenses
Sales Commissions:
0.0
Finders' Fees
0.0
Clarification of Response
Item 16. Use of Proceeds
Provide the amount of the gross proceeds of the offering
that has been or is proposed to be used for payments to any of the persons required
to be named as executive officers,directors or promoters in response to Item 3 above.
0.0
Clarification of Response
Signature and Submission
Issuer Name
ALDER BIOPHARMACEUTICALS INC
Issuer Signature
/S/ JAMES B. BUCHER
Signer Name
JAMES B. BUCHER
Signer Title
SENIOR VICE PRESIDENT
Signature Date
01/26/2018