ALDX

SEC source: 0000899243-17-006712 · doc4.xml · nonDerivative · entry 1

Brady Todd C · CIK 0001579179 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 201,214

F1 · shares: Represents shares of common stock underlying a time-based restricted stock unit award (RSU). The RSU vests ratably in equal annual installments over a four-year period beginning on March 3, 2017, provided that the Reporting Person has provided continuous service to the Issuer through the applicable vesting date.

SEC source: 0000899243-17-006711 · doc4.xml · derivative · entry 1

Tulipano Stephen J · CIK 0001360548 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 220,980

Underlying: Common Stock · 220,980 shares

Expires 2027-03-02

F1 · derivative.exercise_date: The shares subject to this option shall vest in equal monthly installments over the next 48 months of continuous service to the Issuer after January 1, 2017.

SEC source: 0000899243-17-004755 · doc4.xml · nonDerivative · entry 1

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

F1 · price: Represents shares of common stock purchased by the Reporting Person in the Issuer's follow-on offering, which closed on February 17, 2017.

SEC source: 0000899243-17-004752 · doc4.xml · nonDerivative · entry 1

JOYCE MARTIN JOSEPH · CIK 0001300858 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,944

F1 · price: Represents shares of common stock purchased by the Reporting Person in the Issuer's follow-on offering, which closed on February 17, 2017.

SEC source: 0000899243-17-004754 · doc4.xml · nonDerivative · entry 1

Brady Todd C · CIK 0001579179 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,408

F1 · price: Represents shares of common stock purchased by the Reporting Person in the Issuer's follow-on offering, which closed on February 17, 2017.

SEC source: 0000899243-17-004753 · doc4.xml · nonDerivative · entry 1

Bronstein Ben · CIK 0001604458 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,944

F1 · price: Represents shares of common stock purchased by the Reporting Person in the Issuer's follow-on offering, which closed on February 17, 2017.

SEC source: 0000899243-17-004750 · doc4.xml · nonDerivative · entry 1

Tulipano Stephen J · CIK 0001360548 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,333

F1 · price: Represents shares of common stock purchased by the Reporting Person in the Issuer's follow-on offering, which closed on February 17, 2017.

SEC source: 0001019056-17-000215 · aldeyra_4.xml · nonDerivative · entry 1

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,589,451

F1 · ownership.nature: This Form 4 is being filed by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"), Perceptive Advisors LLC (the "Advisor") and Joseph Edelman. The Advisor serves as the investment manager of the Master Fund. Mr. Edelman is the managing member of the Advisor.

F2 · ownership.nature: This amount reflects the amount of securities held by the Master Fund immediately following the transaction requiring the filing of this statement. In accordance with Instruction 5(b)(iv) of Form 4, the entire amount of the Issuer's securities held by Master Fund is reported herein. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0000899243-16-028966 · doc4.xml · derivative · entry 1

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,166

Underlying: Common Stock · 12,166 shares

Expires 2026-09-12

F1 · derivative.exercise_date: Exercisable in equal annual installments over three years of continuous service to the Issuer after September 13, 2016.

SEC source: 0000904454-14-000410 · edgar.xml · derivative · entry 11

JOHNSON & JOHNSON · CIK 0000200406 · 10% owner

JOHNSON & JOHNSON DEVELOPMENT CORP ET AL · CIK 0000924020 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Johnson & Johnson Development Corporation

Disclosed balance after: 0

Underlying: Common Stock · 36,345 shares

Expires 2018-08-14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock immediately following declaration of effectiveness of the Issuer's Registration Statement for no additional consideration. Each share of Series A Preferred Stock and Non-Voting Series A Preferred Stock converted into shares of Common Stock on a 2.3726-for-1 basis and each share of Series B Preferred Stock and Non-Voting Series B Preferred Stock automatically converted into shares of Common Stock on a 1-for-1 basis.

F3 · derivative.exercise_date: All outstanding warrants were net exercised for shares of the Issuer's Series B Preferred Stock and subsequently automatically converted into Common Stock following declaration of effectiveness of the Issuer's Registration Statement for no additional consideration. Each share of Series B Preferred Stock automatically converted into shares of Common Stock on a 1-for-1 basis.

F2 · derivative.underlying: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock immediately following declaration of effectiveness of the Issuer's Registration Statement for no additional consideration. Each share of Series A Preferred Stock and Non-Voting Series A Preferred Stock converted into shares of Common Stock on a 2.3726-for-1 basis and each share of Series B Preferred Stock and Non-Voting Series B Preferred Stock automatically converted into shares of Common Stock on a 1-for-1 basis.

F3 · derivative.underlying: All outstanding warrants were net exercised for shares of the Issuer's Series B Preferred Stock and subsequently automatically converted into Common Stock following declaration of effectiveness of the Issuer's Registration Statement for no additional consideration. Each share of Series B Preferred Stock automatically converted into shares of Common Stock on a 1-for-1 basis.

F1 · ownership.nature: The securities reported as being indirectly beneficially owned by the designated Reporting Person are directly beneficially owned by Johnson & Johnson Development Corporation, a wholly-owned subsidiary of the designated Reporting Person.

SEC source: 0000904454-14-000410 · edgar.xml · derivative · entry 10

JOHNSON & JOHNSON · CIK 0000200406 · 10% owner

JOHNSON & JOHNSON DEVELOPMENT CORP ET AL · CIK 0000924020 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Johnson & Johnson Development Corporation

Disclosed balance after: 0

Underlying: Common Stock · 36,345 shares

Expires 2017-12-20

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock immediately following declaration of effectiveness of the Issuer's Registration Statement for no additional consideration. Each share of Series A Preferred Stock and Non-Voting Series A Preferred Stock converted into shares of Common Stock on a 2.3726-for-1 basis and each share of Series B Preferred Stock and Non-Voting Series B Preferred Stock automatically converted into shares of Common Stock on a 1-for-1 basis.

F3 · derivative.exercise_date: All outstanding warrants were net exercised for shares of the Issuer's Series B Preferred Stock and subsequently automatically converted into Common Stock following declaration of effectiveness of the Issuer's Registration Statement for no additional consideration. Each share of Series B Preferred Stock automatically converted into shares of Common Stock on a 1-for-1 basis.

F2 · derivative.underlying: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock immediately following declaration of effectiveness of the Issuer's Registration Statement for no additional consideration. Each share of Series A Preferred Stock and Non-Voting Series A Preferred Stock converted into shares of Common Stock on a 2.3726-for-1 basis and each share of Series B Preferred Stock and Non-Voting Series B Preferred Stock automatically converted into shares of Common Stock on a 1-for-1 basis.

F3 · derivative.underlying: All outstanding warrants were net exercised for shares of the Issuer's Series B Preferred Stock and subsequently automatically converted into Common Stock following declaration of effectiveness of the Issuer's Registration Statement for no additional consideration. Each share of Series B Preferred Stock automatically converted into shares of Common Stock on a 1-for-1 basis.

F1 · ownership.nature: The securities reported as being indirectly beneficially owned by the designated Reporting Person are directly beneficially owned by Johnson & Johnson Development Corporation, a wholly-owned subsidiary of the designated Reporting Person.

SEC source: 0000904454-14-000410 · edgar.xml · derivative · entry 9

JOHNSON & JOHNSON · CIK 0000200406 · 10% owner

JOHNSON & JOHNSON DEVELOPMENT CORP ET AL · CIK 0000924020 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Johnson & Johnson Development Corporation

Disclosed balance after: 0

Underlying: Common Stock · 133,827 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock immediately following declaration of effectiveness of the Issuer's Registration Statement for no additional consideration. Each share of Series A Preferred Stock and Non-Voting Series A Preferred Stock converted into shares of Common Stock on a 2.3726-for-1 basis and each share of Series B Preferred Stock and Non-Voting Series B Preferred Stock automatically converted into shares of Common Stock on a 1-for-1 basis.

F2 · derivative.exercise_date: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock immediately following declaration of effectiveness of the Issuer's Registration Statement for no additional consideration. Each share of Series A Preferred Stock and Non-Voting Series A Preferred Stock converted into shares of Common Stock on a 2.3726-for-1 basis and each share of Series B Preferred Stock and Non-Voting Series B Preferred Stock automatically converted into shares of Common Stock on a 1-for-1 basis.

F2 · derivative.expiration_date: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock immediately following declaration of effectiveness of the Issuer's Registration Statement for no additional consideration. Each share of Series A Preferred Stock and Non-Voting Series A Preferred Stock converted into shares of Common Stock on a 2.3726-for-1 basis and each share of Series B Preferred Stock and Non-Voting Series B Preferred Stock automatically converted into shares of Common Stock on a 1-for-1 basis.

F1 · ownership.nature: The securities reported as being indirectly beneficially owned by the designated Reporting Person are directly beneficially owned by Johnson & Johnson Development Corporation, a wholly-owned subsidiary of the designated Reporting Person.

SEC source: 0000904454-14-000410 · edgar.xml · derivative · entry 8

JOHNSON & JOHNSON · CIK 0000200406 · 10% owner

JOHNSON & JOHNSON DEVELOPMENT CORP ET AL · CIK 0000924020 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Johnson & Johnson Development Corporation

Disclosed balance after: 0

Underlying: Common Stock · 427,591 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock immediately following declaration of effectiveness of the Issuer's Registration Statement for no additional consideration. Each share of Series A Preferred Stock and Non-Voting Series A Preferred Stock converted into shares of Common Stock on a 2.3726-for-1 basis and each share of Series B Preferred Stock and Non-Voting Series B Preferred Stock automatically converted into shares of Common Stock on a 1-for-1 basis.

F2 · derivative.exercise_date: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock immediately following declaration of effectiveness of the Issuer's Registration Statement for no additional consideration. Each share of Series A Preferred Stock and Non-Voting Series A Preferred Stock converted into shares of Common Stock on a 2.3726-for-1 basis and each share of Series B Preferred Stock and Non-Voting Series B Preferred Stock automatically converted into shares of Common Stock on a 1-for-1 basis.

F2 · derivative.expiration_date: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock immediately following declaration of effectiveness of the Issuer's Registration Statement for no additional consideration. Each share of Series A Preferred Stock and Non-Voting Series A Preferred Stock converted into shares of Common Stock on a 2.3726-for-1 basis and each share of Series B Preferred Stock and Non-Voting Series B Preferred Stock automatically converted into shares of Common Stock on a 1-for-1 basis.

F1 · ownership.nature: The securities reported as being indirectly beneficially owned by the designated Reporting Person are directly beneficially owned by Johnson & Johnson Development Corporation, a wholly-owned subsidiary of the designated Reporting Person.

SEC source: 0000904454-14-000410 · edgar.xml · derivative · entry 7

JOHNSON & JOHNSON · CIK 0000200406 · 10% owner

JOHNSON & JOHNSON DEVELOPMENT CORP ET AL · CIK 0000924020 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Johnson & Johnson Development Corporation

Disclosed balance after: 0

Underlying: Common Stock · 247,694 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock immediately following declaration of effectiveness of the Issuer's Registration Statement for no additional consideration. Each share of Series A Preferred Stock and Non-Voting Series A Preferred Stock converted into shares of Common Stock on a 2.3726-for-1 basis and each share of Series B Preferred Stock and Non-Voting Series B Preferred Stock automatically converted into shares of Common Stock on a 1-for-1 basis.

F2 · derivative.exercise_date: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock immediately following declaration of effectiveness of the Issuer's Registration Statement for no additional consideration. Each share of Series A Preferred Stock and Non-Voting Series A Preferred Stock converted into shares of Common Stock on a 2.3726-for-1 basis and each share of Series B Preferred Stock and Non-Voting Series B Preferred Stock automatically converted into shares of Common Stock on a 1-for-1 basis.

F2 · derivative.expiration_date: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock immediately following declaration of effectiveness of the Issuer's Registration Statement for no additional consideration. Each share of Series A Preferred Stock and Non-Voting Series A Preferred Stock converted into shares of Common Stock on a 2.3726-for-1 basis and each share of Series B Preferred Stock and Non-Voting Series B Preferred Stock automatically converted into shares of Common Stock on a 1-for-1 basis.

F1 · ownership.nature: The securities reported as being indirectly beneficially owned by the designated Reporting Person are directly beneficially owned by Johnson & Johnson Development Corporation, a wholly-owned subsidiary of the designated Reporting Person.

SEC source: 0000904454-14-000410 · edgar.xml · derivative · entry 6

JOHNSON & JOHNSON · CIK 0000200406 · 10% owner

JOHNSON & JOHNSON DEVELOPMENT CORP ET AL · CIK 0000924020 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Johnson & Johnson Development Corporation

Disclosed balance after: 0

Underlying: Common Stock · 915,366 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock immediately following declaration of effectiveness of the Issuer's Registration Statement for no additional consideration. Each share of Series A Preferred Stock and Non-Voting Series A Preferred Stock converted into shares of Common Stock on a 2.3726-for-1 basis and each share of Series B Preferred Stock and Non-Voting Series B Preferred Stock automatically converted into shares of Common Stock on a 1-for-1 basis.

F2 · derivative.exercise_date: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock immediately following declaration of effectiveness of the Issuer's Registration Statement for no additional consideration. Each share of Series A Preferred Stock and Non-Voting Series A Preferred Stock converted into shares of Common Stock on a 2.3726-for-1 basis and each share of Series B Preferred Stock and Non-Voting Series B Preferred Stock automatically converted into shares of Common Stock on a 1-for-1 basis.

F2 · derivative.expiration_date: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock immediately following declaration of effectiveness of the Issuer's Registration Statement for no additional consideration. Each share of Series A Preferred Stock and Non-Voting Series A Preferred Stock converted into shares of Common Stock on a 2.3726-for-1 basis and each share of Series B Preferred Stock and Non-Voting Series B Preferred Stock automatically converted into shares of Common Stock on a 1-for-1 basis.

F1 · ownership.nature: The securities reported as being indirectly beneficially owned by the designated Reporting Person are directly beneficially owned by Johnson & Johnson Development Corporation, a wholly-owned subsidiary of the designated Reporting Person.

SEC source: 0000904454-14-000410 · edgar.xml · nonDerivative · entry 5

JOHNSON & JOHNSON · CIK 0000200406 · 10% owner

JOHNSON & JOHNSON DEVELOPMENT CORP ET AL · CIK 0000924020 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Johnson & Johnson Development Corporation

Disclosed balance after: 1,750,292

F1 · ownership.nature: The securities reported as being indirectly beneficially owned by the designated Reporting Person are directly beneficially owned by Johnson & Johnson Development Corporation, a wholly-owned subsidiary of the designated Reporting Person.

SEC source: 0000904454-14-000410 · edgar.xml · nonDerivative · entry 4

JOHNSON & JOHNSON · CIK 0000200406 · 10% owner

JOHNSON & JOHNSON DEVELOPMENT CORP ET AL · CIK 0000924020 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Johnson & Johnson Development Corporation

Disclosed balance after: 1,773,730

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: The securities reported as being indirectly beneficially owned by the designated Reporting Person are directly beneficially owned by Johnson & Johnson Development Corporation, a wholly-owned subsidiary of the designated Reporting Person.

SEC source: 0000904454-14-000410 · edgar.xml · nonDerivative · entry 3

JOHNSON & JOHNSON · CIK 0000200406 · 10% owner

JOHNSON & JOHNSON DEVELOPMENT CORP ET AL · CIK 0000924020 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Johnson & Johnson Development Corporation

Disclosed balance after: 1,737,385

F1 · ownership.nature: The securities reported as being indirectly beneficially owned by the designated Reporting Person are directly beneficially owned by Johnson & Johnson Development Corporation, a wholly-owned subsidiary of the designated Reporting Person.

SEC source: 0000904454-14-000410 · edgar.xml · nonDerivative · entry 2

JOHNSON & JOHNSON · CIK 0000200406 · 10% owner

JOHNSON & JOHNSON DEVELOPMENT CORP ET AL · CIK 0000924020 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Johnson & Johnson Development Corporation

Disclosed balance after: 1,760,823

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: The securities reported as being indirectly beneficially owned by the designated Reporting Person are directly beneficially owned by Johnson & Johnson Development Corporation, a wholly-owned subsidiary of the designated Reporting Person.

SEC source: 0000904454-14-000410 · edgar.xml · nonDerivative · entry 1

JOHNSON & JOHNSON · CIK 0000200406 · 10% owner

JOHNSON & JOHNSON DEVELOPMENT CORP ET AL · CIK 0000924020 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Johnson & Johnson Development Corporation

Disclosed balance after: 1,724,478

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock immediately following declaration of effectiveness of the Issuer's Registration Statement for no additional consideration. Each share of Series A Preferred Stock and Non-Voting Series A Preferred Stock converted into shares of Common Stock on a 2.3726-for-1 basis and each share of Series B Preferred Stock and Non-Voting Series B Preferred Stock automatically converted into shares of Common Stock on a 1-for-1 basis.

F1 · ownership.nature: The securities reported as being indirectly beneficially owned by the designated Reporting Person are directly beneficially owned by Johnson & Johnson Development Corporation, a wholly-owned subsidiary of the designated Reporting Person.