Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Zymeworks Inc.ZYME · Entity 4458 | EVP & Chief Medical Officer | January 12, 2026 | January 12, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Zymeworks Inc.
Report date January 12, 2026 · Filed January 12, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 26,708 |
Ending reported balance
After 2026-01-12 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-01-12 · Exercise / conversion · Acquired 17,666 · Balance 36,018 F1: Represents shares of common stock issued upon vesting of one third of the restricted stock units ("RSUs") granted on January 10, 2025. Row 2 · 2026-01-12 · Sale · Disposed 9,310 · Balance 26,708 F2: Represents shares of common stock sold to cover tax withholding obligations and other applicable fees in connection with the vesting of RSUs pursuant to mandatory "sell to cover" provisions contained in the Reporting Person's applicable RSU grant agreement, and does not represent a discretionary sale by the Reporting Person. The Reporting Person did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than to cover required taxes and fees. F3: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $22.49 to $23.05, inclusive. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 35,334 |
Reported balance
After 2026-01-12 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-01-12 · Exercise / conversion · Disposed 17,666 · Balance 35,334 F4: Each RSU represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F5: The RSUs were granted on January 10, 2025 and vest in three equal annual installments beginning on the first anniversary of grant date. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of common stock issued upon vesting of one third of the restricted stock units ("RSUs") granted on January 10, 2025.
F2: Represents shares of common stock sold to cover tax withholding obligations and other applicable fees in connection with the vesting of RSUs pursuant to mandatory "sell to cover" provisions contained in the Reporting Person's applicable RSU grant agreement, and does not represent a discretionary sale by the Reporting Person. The Reporting Person did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than to cover required taxes and fees.
F3: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $22.49 to $23.05, inclusive. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
F4: Each RSU represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.
F5: The RSUs were granted on January 10, 2025 and vest in three equal annual installments beginning on the first anniversary of grant date.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ALDER BIOPHARMACEUTICALS INC
Report date October 22, 2019 · Filed October 24, 2019
Section 16 reporting ended · disclosed 2019-10-24. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2019-10-22 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-10-22 · Grant · Acquired 16,230 · Balance 21,502 F1: On January 2, 2018, the Reporting Person was granted restricted stock units which represented a contingent right to receive a maximum of 25,518 shares of Issuer's Common Stock (the "RSU"), of which 9,288 shares had vested and the remaining 16,230 shares were to vest upon the achievement of one or more milestones or a change of control of the Issuer. The remaining shares subject to the RSU vested in full upon the Effective Time (as such term is defined in footnote 2). Row 2 · 2019-10-22 · Disposition to issuer · Disposed 21,502 · Balance 0 F2: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck. F3: The Reporting Person will also receive one non-transferable contingent value right for each share held, which will entitle them to receive up to an additional $2.00 per share upon achievement of a milestone. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.47 · Expires 2022-06-12 | Direct | 0 |
Reported balance
After 2019-10-22 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-10-22 · Disposition to issuer · Disposed 17,271 · Balance 0 F2: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck. F4: The shares subject to this stock option are fully vested. F5: The shares subject to this option, whether or not vested, were cancelled and converted into the right to receive both (i) a cash payment equal to (A) the excess, if any of (x) $18.00 over (y) the Exercise Price per share listed in Column 2 of Table II of this Form 4, multiplied by (B) the total number of shares listed in Column 5 of Table II of this Form 4, and (ii) one non-transferable contingent value right for each share subject to this option, which represents the contractual right to receive up to an additional $2.00 per share upon achievement of a milestone. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.47 · Expires 2022-12-11 | Direct | 0 |
Reported balance
After 2019-10-22 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-10-22 · Disposition to issuer · Disposed 31,818 · Balance 0 F2: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck. F4: The shares subject to this stock option are fully vested. F5: The shares subject to this option, whether or not vested, were cancelled and converted into the right to receive both (i) a cash payment equal to (A) the excess, if any of (x) $18.00 over (y) the Exercise Price per share listed in Column 2 of Table II of this Form 4, multiplied by (B) the total number of shares listed in Column 5 of Table II of this Form 4, and (ii) one non-transferable contingent value right for each share subject to this option, which represents the contractual right to receive up to an additional $2.00 per share upon achievement of a milestone. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.77 · Expires 2024-02-10 | Direct | 0 |
Reported balance
After 2019-10-22 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-10-22 · Disposition to issuer · Disposed 13,636 · Balance 0 F2: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck. F5: The shares subject to this option, whether or not vested, were cancelled and converted into the right to receive both (i) a cash payment equal to (A) the excess, if any of (x) $18.00 over (y) the Exercise Price per share listed in Column 2 of Table II of this Form 4, multiplied by (B) the total number of shares listed in Column 5 of Table II of this Form 4, and (ii) one non-transferable contingent value right for each share subject to this option, which represents the contractual right to receive up to an additional $2.00 per share upon achievement of a milestone. F6: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of January 1, 2014 (the "2014 Vesting Commencement Date") and 1/48th of the total number of shares each monthly anniversary of the 2014 Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the 2014 Vesting Commencement Date. The shares subject to this option are fully vested as of the date hereof. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.00 · Expires 2024-05-06 | Direct | 0 |
Reported balance
After 2019-10-22 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2019-10-22 · Disposition to issuer · Disposed 13,636 · Balance 0 F2: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck. F5: The shares subject to this option, whether or not vested, were cancelled and converted into the right to receive both (i) a cash payment equal to (A) the excess, if any of (x) $18.00 over (y) the Exercise Price per share listed in Column 2 of Table II of this Form 4, multiplied by (B) the total number of shares listed in Column 5 of Table II of this Form 4, and (ii) one non-transferable contingent value right for each share subject to this option, which represents the contractual right to receive up to an additional $2.00 per share upon achievement of a milestone. F7: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of May 7, 2014 (the "May 2014 Vesting Commencement Date") and 1/48th of the total number of shares each monthly anniversary of the May 2014 Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the May 2014 Vesting Commencement Date. The shares subject to this option are fully vested as of the date hereof. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.90 · Expires 2024-07-07 | Direct | 0 |
Reported balance
After 2019-10-22 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2019-10-22 · Disposition to issuer · Disposed 35,000 · Balance 0 F2: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck. F5: The shares subject to this option, whether or not vested, were cancelled and converted into the right to receive both (i) a cash payment equal to (A) the excess, if any of (x) $18.00 over (y) the Exercise Price per share listed in Column 2 of Table II of this Form 4, multiplied by (B) the total number of shares listed in Column 5 of Table II of this Form 4, and (ii) one non-transferable contingent value right for each share subject to this option, which represents the contractual right to receive up to an additional $2.00 per share upon achievement of a milestone. F8: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of July 8, 2014 (the "July 2014 Vesting Commencement Date") and 1/48th of the total number of shares each monthly anniversary of the July 2014 Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the July 2014 Vesting Commencement Date. The shares subject to this option are fully vested as of the date hereof. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $28.23 · Expires 2025-01-25 | Direct | 0 |
Reported balance
After 2019-10-22 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2019-10-22 · Disposition to issuer · Disposed 50,000 · Balance 0 F2: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck. F9: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of January 1, 2015 (the "2015 Vesting Commencement Date") and 1/48th of the total number of shares each monthly anniversary of the 2015 Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the 2015 Vesting Commencement Date. The shares subject to this option are fully vested as of the date hereof. F10: The shares subject to this option, whether vested or not, were cancelled at the Effective Time without any consideration payable therefor. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $24.18 · Expires 2026-01-28 | Direct | 0 |
Reported balance
After 2019-10-22 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2019-10-22 · Disposition to issuer · Disposed 100,000 · Balance 0 F2: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck. F10: The shares subject to this option, whether vested or not, were cancelled at the Effective Time without any consideration payable therefor. F11: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of January 1, 2016 (the "2016 Vesting Commencement Date") and 1/48th of the total number of shares each monthly anniversary of the 2016 Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the 2016 Vesting Commencement Date. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $20.40 · Expires 2027-01-26 | Direct | 0 |
Reported balance
After 2019-10-22 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2019-10-22 · Disposition to issuer · Disposed 85,000 · Balance 0 F2: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck. F10: The shares subject to this option, whether vested or not, were cancelled at the Effective Time without any consideration payable therefor. F12: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of January 1, 2017 (the "2017 Vesting Commencement Date") and 1/48th of the total number of shares each monthly anniversary of the 2017 Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the 2017 Vesting Commencement Date. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.70 · Expires 2027-12-13 | Direct | 0 |
Reported balance
After 2019-10-22 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2019-10-22 · Disposition to issuer · Disposed 50,000 · Balance 0 F2: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck. F5: The shares subject to this option, whether or not vested, were cancelled and converted into the right to receive both (i) a cash payment equal to (A) the excess, if any of (x) $18.00 over (y) the Exercise Price per share listed in Column 2 of Table II of this Form 4, multiplied by (B) the total number of shares listed in Column 5 of Table II of this Form 4, and (ii) one non-transferable contingent value right for each share subject to this option, which represents the contractual right to receive up to an additional $2.00 per share upon achievement of a milestone. F13: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of December 14, 2017 (the "December 2017 Vesting Commencement Date") and 1/48th of the total number of shares each monthly anniversary of the December 2017 Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the December 2017 Vesting Commencement Date. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.55 · Expires 2028-02-15 | Direct | 0 |
Reported balance
After 2019-10-22 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2019-10-22 · Disposition to issuer · Disposed 60,000 · Balance 0 F2: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck. F5: The shares subject to this option, whether or not vested, were cancelled and converted into the right to receive both (i) a cash payment equal to (A) the excess, if any of (x) $18.00 over (y) the Exercise Price per share listed in Column 2 of Table II of this Form 4, multiplied by (B) the total number of shares listed in Column 5 of Table II of this Form 4, and (ii) one non-transferable contingent value right for each share subject to this option, which represents the contractual right to receive up to an additional $2.00 per share upon achievement of a milestone. F14: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of January 1, 2018 (the "2018 Vesting Commencement Date") and 1/48th of the total number of shares each monthly anniversary of the 2018 Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the 2018 Vesting Commencement Date. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $14.00 · Expires 2029-02-05 | Direct | 0 |
Reported balance
After 2019-10-22 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2019-10-22 · Disposition to issuer · Disposed 100,000 · Balance 0 F2: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck. F5: The shares subject to this option, whether or not vested, were cancelled and converted into the right to receive both (i) a cash payment equal to (A) the excess, if any of (x) $18.00 over (y) the Exercise Price per share listed in Column 2 of Table II of this Form 4, multiplied by (B) the total number of shares listed in Column 5 of Table II of this Form 4, and (ii) one non-transferable contingent value right for each share subject to this option, which represents the contractual right to receive up to an additional $2.00 per share upon achievement of a milestone. F15: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of January 1, 2019 (the "2019 Vesting Commencement Date") and 1/48th of the total number of shares each monthly anniversary of the 2019 Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the 2019 Vesting Commencement Date. |
Filing footnotes · ownership attribution and instrument terms
F1: On January 2, 2018, the Reporting Person was granted restricted stock units which represented a contingent right to receive a maximum of 25,518 shares of Issuer's Common Stock (the "RSU"), of which 9,288 shares had vested and the remaining 16,230 shares were to vest upon the achievement of one or more milestones or a change of control of the Issuer. The remaining shares subject to the RSU vested in full upon the Effective Time (as such term is defined in footnote 2).
F2: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck.
F3: The Reporting Person will also receive one non-transferable contingent value right for each share held, which will entitle them to receive up to an additional $2.00 per share upon achievement of a milestone.
F4: The shares subject to this stock option are fully vested.
F5: The shares subject to this option, whether or not vested, were cancelled and converted into the right to receive both (i) a cash payment equal to (A) the excess, if any of (x) $18.00 over (y) the Exercise Price per share listed in Column 2 of Table II of this Form 4, multiplied by (B) the total number of shares listed in Column 5 of Table II of this Form 4, and (ii) one non-transferable contingent value right for each share subject to this option, which represents the contractual right to receive up to an additional $2.00 per share upon achievement of a milestone.
F6: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of January 1, 2014 (the "2014 Vesting Commencement Date") and 1/48th of the total number of shares each monthly anniversary of the 2014 Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the 2014 Vesting Commencement Date. The shares subject to this option are fully vested as of the date hereof.
F7: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of May 7, 2014 (the "May 2014 Vesting Commencement Date") and 1/48th of the total number of shares each monthly anniversary of the May 2014 Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the May 2014 Vesting Commencement Date. The shares subject to this option are fully vested as of the date hereof.
F8: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of July 8, 2014 (the "July 2014 Vesting Commencement Date") and 1/48th of the total number of shares each monthly anniversary of the July 2014 Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the July 2014 Vesting Commencement Date. The shares subject to this option are fully vested as of the date hereof.
F9: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of January 1, 2015 (the "2015 Vesting Commencement Date") and 1/48th of the total number of shares each monthly anniversary of the 2015 Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the 2015 Vesting Commencement Date. The shares subject to this option are fully vested as of the date hereof.
F10: The shares subject to this option, whether vested or not, were cancelled at the Effective Time without any consideration payable therefor.
F11: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of January 1, 2016 (the "2016 Vesting Commencement Date") and 1/48th of the total number of shares each monthly anniversary of the 2016 Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the 2016 Vesting Commencement Date.
F12: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of January 1, 2017 (the "2017 Vesting Commencement Date") and 1/48th of the total number of shares each monthly anniversary of the 2017 Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the 2017 Vesting Commencement Date.
F13: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of December 14, 2017 (the "December 2017 Vesting Commencement Date") and 1/48th of the total number of shares each monthly anniversary of the December 2017 Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the December 2017 Vesting Commencement Date.
F14: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of January 1, 2018 (the "2018 Vesting Commencement Date") and 1/48th of the total number of shares each monthly anniversary of the 2018 Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the 2018 Vesting Commencement Date.
F15: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of January 1, 2019 (the "2019 Vesting Commencement Date") and 1/48th of the total number of shares each monthly anniversary of the 2019 Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the 2019 Vesting Commencement Date.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 12, 2026 Filed Jan 12, 2026 21:00 UTC | Zymeworks Inc. ZYME · Entity 4458 | Exercise / conversionRestricted Stock Unit · Derivative | 17,666 | $0.00 | $0.00 |
DisclosureSEC source: 0001193125-26-010865 · ownership.xml · derivative · entry 3 Smith Jeffrey T L · CIK 0001604800 · EVP & Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,334 Underlying: Common Stock · 17,666 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. F4 · derivative.exercise_price: Each RSU represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F5 · derivative.exercise_date: The RSUs were granted on January 10, 2025 and vest in three equal annual installments beginning on the first anniversary of grant date. F5 · derivative.expiration_date: The RSUs were granted on January 10, 2025 and vest in three equal annual installments beginning on the first anniversary of grant date. Read SEC document |
| January 12, 2026 Filed Jan 12, 2026 21:00 UTC | Zymeworks Inc. ZYME · Entity 4458 | SaleCommon Stock | 9,310 | $22.67 | $211,090.29 |
DisclosureSEC source: 0001193125-26-010865 · ownership.xml · nonDerivative · entry 2 Smith Jeffrey T L · CIK 0001604800 · EVP & Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,708 F2 · kind: Represents shares of common stock sold to cover tax withholding obligations and other applicable fees in connection with the vesting of RSUs pursuant to mandatory "sell to cover" provisions contained in the Reporting Person's applicable RSU grant agreement, and does not represent a discretionary sale by the Reporting Person. The Reporting Person did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than to cover required taxes and fees. F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $22.49 to $23.05, inclusive. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price. Read SEC document |
| January 12, 2026 Filed Jan 12, 2026 21:00 UTC | Zymeworks Inc. ZYME · Entity 4458 | Exercise / conversionCommon Stock | 17,666 | $0.00 | $0.00 |
DisclosureSEC source: 0001193125-26-010865 · ownership.xml · nonDerivative · entry 1 Smith Jeffrey T L · CIK 0001604800 · EVP & Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 36,018 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 · price: Represents shares of common stock issued upon vesting of one third of the restricted stock units ("RSUs") granted on January 10, 2025. Read SEC document |
| January 05, 2026 Filed Jan 5, 2026 20:22 UTC | Zymeworks Inc. ZYME · Entity 4458 | Exercise / conversionRestricted Stock Unit · Derivative | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001193125-26-003102 · ownership.xml · derivative · entry 3 Smith Jeffrey T L · CIK 0001604800 · EVP & Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 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. F4 · derivative.exercise_price: Each RSU represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F5 · derivative.exercise_date: The RSUS were granted on January 5, 2024 and vest in three equal annual installments beginning on the first anniversary of January 5, 2024. F5 · derivative.expiration_date: The RSUS were granted on January 5, 2024 and vest in three equal annual installments beginning on the first anniversary of January 5, 2024. Read SEC document |
| January 05, 2026 Filed Jan 5, 2026 20:22 UTC | Zymeworks Inc. ZYME · Entity 4458 | SaleCommon Stock | 10,538 | $25.10 | $264,471.13 |
DisclosureSEC source: 0001193125-26-003102 · ownership.xml · nonDerivative · entry 2 Smith Jeffrey T L · CIK 0001604800 · EVP & Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,352 F2 · kind: Represents shares of common stock sold to cover tax withholding obligations and other applicable fees in connection with the vesting of RSUs pursuant to mandatory "sell to cover" provisions contained in the Reporting Person's applicable RSU grant agreement, and does not represent a discretionary sale by the Reporting Person. The Reporting Person did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than to cover required taxes and fees. F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $24.715 to $25.84, inclusive. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price. Read SEC document |
| January 05, 2026 Filed Jan 5, 2026 20:22 UTC | Zymeworks Inc. ZYME · Entity 4458 | Exercise / conversionCommon Stock | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001193125-26-003102 · ownership.xml · nonDerivative · entry 1 Smith Jeffrey T L · CIK 0001604800 · EVP & Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,890 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 · price: Represents shares of common stock issued upon vesting of one third of the restricted stock units ("RSUs") granted on January 5, 2024. Read SEC document |
| January 10, 2025 Filed Jan 10, 2025 18:03 UTC | Zymeworks Inc. ZYME · Entity 4458 | GrantRestricted Stock Unit · Derivative | 53,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-25-004346 · ownership.xml · derivative · entry 2 Smith Jeffrey T L · CIK 0001604800 · EVP & Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 53,000 Underlying: Common Stock · 53,000 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of Issuer's common stock. F3 · derivative.exercise_date: RSUs vest in three equal annual installments beginning on first anniversary of grant date. F3 · derivative.expiration_date: RSUs vest in three equal annual installments beginning on first anniversary of grant date. Read SEC document |
| January 10, 2025 Filed Jan 10, 2025 18:03 UTC | Zymeworks Inc. ZYME · Entity 4458 | GrantStock Option (Right to Buy) · Derivative | 79,000 | $0.00 Strike: $13.22 | $0.00 |
DisclosureSEC source: 0000950170-25-004346 · ownership.xml · derivative · entry 1 Smith Jeffrey T L · CIK 0001604800 · EVP & Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 79,000 Underlying: Common Stock · 79,000 shares Expires 2035-01-09 F1 · derivative.exercise_date: Stock options vest as follows: (i) 25% of underlying shares of common stock on first anniversary of grant date and (ii) remainder of underlying shares of common stock in 36 equal monthly installments on last day of month following first anniversary of grant date. Read SEC document |
| January 06, 2025 Filed Jan 6, 2025 20:19 UTC | Zymeworks Inc. ZYME · Entity 4458 | Exercise / conversionRestricted Stock Unit · Derivative | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-25-002490 · ownership.xml · derivative · entry 3 Smith Jeffrey T L · CIK 0001604800 · EVP & Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 20,000 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. F4 · derivative.exercise_price: Each RSU represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F5 · derivative.exercise_date: The RSUS were granted on January 5, 2024 and vest in three equal annual installments beginning on the first anniversary of January 5, 2024. F5 · derivative.expiration_date: The RSUS were granted on January 5, 2024 and vest in three equal annual installments beginning on the first anniversary of January 5, 2024. Read SEC document |
| January 06, 2025 Filed Jan 6, 2025 20:19 UTC | Zymeworks Inc. ZYME · Entity 4458 | SaleCommon Stock | 11,110 | $14.92 | $165,806.75 |
DisclosureSEC source: 0000950170-25-002490 · ownership.xml · nonDerivative · entry 2 Smith Jeffrey T L · CIK 0001604800 · EVP & Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,890 F2 · kind: Represents shares of common stock sold to cover tax withholding obligations and other applicable fees in connection with the vesting of RSUs pursuant to mandatory "sell to cover" provisions contained in the Reporting Person's applicable RSU grant agreement, and does not represent a discretionary sale by the Reporting Person. The Reporting Person did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than to cover required taxes and fees. F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $14.44 to $15.14, inclusive. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price. Read SEC document |
| January 06, 2025 Filed Jan 6, 2025 20:19 UTC | Zymeworks Inc. ZYME · Entity 4458 | Exercise / conversionCommon Stock | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-25-002490 · ownership.xml · nonDerivative · entry 1 Smith Jeffrey T L · CIK 0001604800 · EVP & Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,000 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 · price: Represents shares of common stock issued upon vesting of one third of the restricted stock units ("RSUs") granted on January 5, 2024. Read SEC document |
| January 05, 2024 Filed Jan 8, 2024 18:00 UTC | Zymeworks Inc. ZYME · Entity 4458 | GrantRestricted Stock Unit · Derivative | 60,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-003065 · ownership.xml · derivative · entry 2 Smith Jeffrey T L · CIK 0001604800 · EVP & Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F3 · derivative.exercise_date: The RSUs vest in three equal annual installments beginning on January 5, 2025. F3 · derivative.expiration_date: The RSUs vest in three equal annual installments beginning on January 5, 2025. Read SEC document |
| January 05, 2024 Filed Jan 8, 2024 18:00 UTC | Zymeworks Inc. ZYME · Entity 4458 | GrantStock Option (Right to Buy) · Derivative | 90,000 | $0.00 Strike: $10.56 | $0.00 |
DisclosureSEC source: 0000950170-24-003065 · ownership.xml · derivative · entry 1 Smith Jeffrey T L · CIK 0001604800 · EVP & Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 90,000 Underlying: Common Stock · 90,000 shares Expires 2034-01-04 F1 · derivative.exercise_date: Stock options vest as follows: (i) 25% of underlying shares of common stock on first anniversary of grant date and (ii) remainder of underlying shares of common stock in 36 equal monthly installments on last day of month following first anniversary of grant date. Read SEC document |
| October 22, 2019 Filed Oct 24, 2019 19:07 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | Disposition to issuerStock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $14.00 | $0.00 |
DisclosureSEC source: 0001209191-19-053919 · doc4.xml · derivative · entry 13 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 100,000 shares Expires 2029-02-05 F2 · date: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck. F5 · derivative.exercise_date: The shares subject to this option, whether or not vested, were cancelled and converted into the right to receive both (i) a cash payment equal to (A) the excess, if any of (x) $18.00 over (y) the Exercise Price per share listed in Column 2 of Table II of this Form 4, multiplied by (B) the total number of shares listed in Column 5 of Table II of this Form 4, and (ii) one non-transferable contingent value right for each share subject to this option, which represents the contractual right to receive up to an additional $2.00 per share upon achievement of a milestone. F15 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of January 1, 2019 (the "2019 Vesting Commencement Date") and 1/48th of the total number of shares each monthly anniversary of the 2019 Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the 2019 Vesting Commencement Date. Read SEC document |
| October 22, 2019 Filed Oct 24, 2019 19:07 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | Disposition to issuerStock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $13.55 | $0.00 |
DisclosureSEC source: 0001209191-19-053919 · doc4.xml · derivative · entry 12 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 60,000 shares Expires 2028-02-15 F2 · date: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck. F5 · derivative.exercise_date: The shares subject to this option, whether or not vested, were cancelled and converted into the right to receive both (i) a cash payment equal to (A) the excess, if any of (x) $18.00 over (y) the Exercise Price per share listed in Column 2 of Table II of this Form 4, multiplied by (B) the total number of shares listed in Column 5 of Table II of this Form 4, and (ii) one non-transferable contingent value right for each share subject to this option, which represents the contractual right to receive up to an additional $2.00 per share upon achievement of a milestone. F14 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of January 1, 2018 (the "2018 Vesting Commencement Date") and 1/48th of the total number of shares each monthly anniversary of the 2018 Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the 2018 Vesting Commencement Date. Read SEC document |
| October 22, 2019 Filed Oct 24, 2019 19:07 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | Disposition to issuerStock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $10.70 | $0.00 |
DisclosureSEC source: 0001209191-19-053919 · doc4.xml · derivative · entry 11 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,000 shares Expires 2027-12-13 F2 · date: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck. F5 · derivative.exercise_date: The shares subject to this option, whether or not vested, were cancelled and converted into the right to receive both (i) a cash payment equal to (A) the excess, if any of (x) $18.00 over (y) the Exercise Price per share listed in Column 2 of Table II of this Form 4, multiplied by (B) the total number of shares listed in Column 5 of Table II of this Form 4, and (ii) one non-transferable contingent value right for each share subject to this option, which represents the contractual right to receive up to an additional $2.00 per share upon achievement of a milestone. F13 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of December 14, 2017 (the "December 2017 Vesting Commencement Date") and 1/48th of the total number of shares each monthly anniversary of the December 2017 Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the December 2017 Vesting Commencement Date. Read SEC document |
| October 22, 2019 Filed Oct 24, 2019 19:07 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | Disposition to issuerStock Option (Right to Buy) · Derivative | 85,000 | $0.00 Strike: $20.40 | $0.00 |
DisclosureSEC source: 0001209191-19-053919 · doc4.xml · derivative · entry 10 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 85,000 shares Expires 2027-01-26 F2 · date: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck. F10 · derivative.exercise_date: The shares subject to this option, whether vested or not, were cancelled at the Effective Time without any consideration payable therefor. F12 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of January 1, 2017 (the "2017 Vesting Commencement Date") and 1/48th of the total number of shares each monthly anniversary of the 2017 Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the 2017 Vesting Commencement Date. Read SEC document |
| October 22, 2019 Filed Oct 24, 2019 19:07 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | Disposition to issuerStock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $24.18 | $0.00 |
DisclosureSEC source: 0001209191-19-053919 · doc4.xml · derivative · entry 9 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 100,000 shares Expires 2026-01-28 F2 · date: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck. F10 · derivative.exercise_date: The shares subject to this option, whether vested or not, were cancelled at the Effective Time without any consideration payable therefor. F11 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of January 1, 2016 (the "2016 Vesting Commencement Date") and 1/48th of the total number of shares each monthly anniversary of the 2016 Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the 2016 Vesting Commencement Date. Read SEC document |
| October 22, 2019 Filed Oct 24, 2019 19:07 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | Disposition to issuerStock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $28.23 | $0.00 |
DisclosureSEC source: 0001209191-19-053919 · doc4.xml · derivative · entry 8 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,000 shares Expires 2025-01-25 F2 · date: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck. F9 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of January 1, 2015 (the "2015 Vesting Commencement Date") and 1/48th of the total number of shares each monthly anniversary of the 2015 Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the 2015 Vesting Commencement Date. The shares subject to this option are fully vested as of the date hereof. F10 · derivative.exercise_date: The shares subject to this option, whether vested or not, were cancelled at the Effective Time without any consideration payable therefor. Read SEC document |
| October 22, 2019 Filed Oct 24, 2019 19:07 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | Disposition to issuerStock Option (Right to Buy) · Derivative | 35,000 | $0.00 Strike: $16.90 | $0.00 |
DisclosureSEC source: 0001209191-19-053919 · doc4.xml · derivative · entry 7 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 35,000 shares Expires 2024-07-07 F2 · date: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck. F5 · derivative.exercise_date: The shares subject to this option, whether or not vested, were cancelled and converted into the right to receive both (i) a cash payment equal to (A) the excess, if any of (x) $18.00 over (y) the Exercise Price per share listed in Column 2 of Table II of this Form 4, multiplied by (B) the total number of shares listed in Column 5 of Table II of this Form 4, and (ii) one non-transferable contingent value right for each share subject to this option, which represents the contractual right to receive up to an additional $2.00 per share upon achievement of a milestone. F8 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of July 8, 2014 (the "July 2014 Vesting Commencement Date") and 1/48th of the total number of shares each monthly anniversary of the July 2014 Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the July 2014 Vesting Commencement Date. The shares subject to this option are fully vested as of the date hereof. Read SEC document |
| October 22, 2019 Filed Oct 24, 2019 19:07 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | Disposition to issuerStock Option (Right to Buy) · Derivative | 13,636 | $0.00 Strike: $10.00 | $0.00 |
DisclosureSEC source: 0001209191-19-053919 · doc4.xml · derivative · entry 6 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,636 shares Expires 2024-05-06 F2 · date: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck. F5 · derivative.exercise_date: The shares subject to this option, whether or not vested, were cancelled and converted into the right to receive both (i) a cash payment equal to (A) the excess, if any of (x) $18.00 over (y) the Exercise Price per share listed in Column 2 of Table II of this Form 4, multiplied by (B) the total number of shares listed in Column 5 of Table II of this Form 4, and (ii) one non-transferable contingent value right for each share subject to this option, which represents the contractual right to receive up to an additional $2.00 per share upon achievement of a milestone. F7 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of May 7, 2014 (the "May 2014 Vesting Commencement Date") and 1/48th of the total number of shares each monthly anniversary of the May 2014 Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the May 2014 Vesting Commencement Date. The shares subject to this option are fully vested as of the date hereof. Read SEC document |
| October 22, 2019 Filed Oct 24, 2019 19:07 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | Disposition to issuerStock Option (Right to Buy) · Derivative | 13,636 | $0.00 Strike: $6.77 | $0.00 |
DisclosureSEC source: 0001209191-19-053919 · doc4.xml · derivative · entry 5 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,636 shares Expires 2024-02-10 F2 · date: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck. F5 · derivative.exercise_date: The shares subject to this option, whether or not vested, were cancelled and converted into the right to receive both (i) a cash payment equal to (A) the excess, if any of (x) $18.00 over (y) the Exercise Price per share listed in Column 2 of Table II of this Form 4, multiplied by (B) the total number of shares listed in Column 5 of Table II of this Form 4, and (ii) one non-transferable contingent value right for each share subject to this option, which represents the contractual right to receive up to an additional $2.00 per share upon achievement of a milestone. F6 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of January 1, 2014 (the "2014 Vesting Commencement Date") and 1/48th of the total number of shares each monthly anniversary of the 2014 Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the 2014 Vesting Commencement Date. The shares subject to this option are fully vested as of the date hereof. Read SEC document |
| October 22, 2019 Filed Oct 24, 2019 19:07 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | Disposition to issuerStock Option (Right to Buy) · Derivative | 31,818 | $0.00 Strike: $3.47 | $0.00 |
DisclosureSEC source: 0001209191-19-053919 · doc4.xml · derivative · entry 4 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 31,818 shares Expires 2022-12-11 F2 · date: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck. F4 · derivative.exercise_date: The shares subject to this stock option are fully vested. F5 · derivative.exercise_date: The shares subject to this option, whether or not vested, were cancelled and converted into the right to receive both (i) a cash payment equal to (A) the excess, if any of (x) $18.00 over (y) the Exercise Price per share listed in Column 2 of Table II of this Form 4, multiplied by (B) the total number of shares listed in Column 5 of Table II of this Form 4, and (ii) one non-transferable contingent value right for each share subject to this option, which represents the contractual right to receive up to an additional $2.00 per share upon achievement of a milestone. Read SEC document |
| October 22, 2019 Filed Oct 24, 2019 19:07 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | Disposition to issuerStock Option (Right to Buy) · Derivative | 17,271 | $0.00 Strike: $3.47 | $0.00 |
DisclosureSEC source: 0001209191-19-053919 · doc4.xml · derivative · entry 3 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 17,271 shares Expires 2022-06-12 F2 · date: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck. F4 · derivative.exercise_date: The shares subject to this stock option are fully vested. F5 · derivative.exercise_date: The shares subject to this option, whether or not vested, were cancelled and converted into the right to receive both (i) a cash payment equal to (A) the excess, if any of (x) $18.00 over (y) the Exercise Price per share listed in Column 2 of Table II of this Form 4, multiplied by (B) the total number of shares listed in Column 5 of Table II of this Form 4, and (ii) one non-transferable contingent value right for each share subject to this option, which represents the contractual right to receive up to an additional $2.00 per share upon achievement of a milestone. Read SEC document |
| October 22, 2019 Filed Oct 24, 2019 19:07 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | Disposition to issuerCommon Stock | 21,502 | $18.00 | $387,036.00 |
DisclosureSEC source: 0001209191-19-053919 · doc4.xml · nonDerivative · entry 2 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · date: On September 16, 2019, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with H. Lundbeck A/S ("Lundbeck"), Lundbeck LLC and Violet Acquisition Corp., a wholly owned subsidiary of Lundbeck ("Purchaser"). On October 22, 2019 (the "Effective Time"), Purchaser merged with and into the Issuer pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Issuer being the surviving corporation and becoming a wholly-owned subsidiary of Lundbeck. F3 · price: The Reporting Person will also receive one non-transferable contingent value right for each share held, which will entitle them to receive up to an additional $2.00 per share upon achievement of a milestone. Read SEC document |
| October 22, 2019 Filed Oct 24, 2019 19:07 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | GrantCommon Stock | 16,230 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-053919 · doc4.xml · nonDerivative · entry 1 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,502 F1 · kind: On January 2, 2018, the Reporting Person was granted restricted stock units which represented a contingent right to receive a maximum of 25,518 shares of Issuer's Common Stock (the "RSU"), of which 9,288 shares had vested and the remaining 16,230 shares were to vest upon the achievement of one or more milestones or a change of control of the Issuer. The remaining shares subject to the RSU vested in full upon the Effective Time (as such term is defined in footnote 2). Read SEC document |
| September 16, 2019 Filed Sep 18, 2019 16:45 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | Exercise / conversionStock Option (Right to Buy) · Derivative | 10,001 | $0.00 Strike: $3.47 | $0.00 |
DisclosureSEC source: 0001209191-19-050079 · doc4.xml · derivative · entry 5 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,271 Underlying: Common Stock · 10,001 shares Expires 2022-06-12 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. F4 · derivative.exercise_date: The shares subject to this stock option are fully vested. Read SEC document |
| September 16, 2019 Filed Sep 18, 2019 16:45 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | Exercise / conversionStock Option (Right to Buy) · Derivative | 22,727 | $0.00 Strike: $4.46 | $0.00 |
DisclosureSEC source: 0001209191-19-050079 · doc4.xml · derivative · entry 4 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 22,727 shares Expires 2020-02-25 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. F4 · derivative.exercise_date: The shares subject to this stock option are fully vested. Read SEC document |
| September 16, 2019 Filed Sep 18, 2019 16:45 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | SaleCommon Stock | 32,728 | $18.44 | $603,504.32 |
DisclosureSEC source: 0001209191-19-050079 · doc4.xml · nonDerivative · entry 3 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,272 F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 6, 2019. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.355 to $18.67, 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. Read SEC document |
| September 16, 2019 Filed Sep 18, 2019 16:45 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | Exercise / conversionCommon Stock | 10,001 | $3.47 | $34,653.47 |
DisclosureSEC source: 0001209191-19-050079 · doc4.xml · nonDerivative · entry 2 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,000 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 · shares: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 6, 2019. Read SEC document |
| September 16, 2019 Filed Sep 18, 2019 16:45 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | Exercise / conversionCommon Stock | 22,727 | $4.46 | $101,248.79 |
DisclosureSEC source: 0001209191-19-050079 · doc4.xml · nonDerivative · entry 1 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,999 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 · shares: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 6, 2019. Read SEC document |
| April 25, 2019 Filed Apr 25, 2019 18:51 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | Disposition to issuerCommon Stock | 4,847 | $13.73 | $66,525.56 |
DisclosureSEC source: 0001209191-19-026035 · doc4.xml · nonDerivative · entry 2 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,272 F2 · shares: 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. F3 · price: 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. Read SEC document |
| April 23, 2019 Filed Apr 25, 2019 18:51 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | GrantCommon Stock | 9,288 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-026035 · doc4.xml · nonDerivative · entry 1 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,119 F1 · security: 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. Read SEC document |
| February 06, 2019 Filed Feb 8, 2019 16:52 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | GrantStock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $14.00 | $0.00 |
DisclosureSEC source: 0001209191-19-008595 · doc4.xml · derivative · entry 1 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2029-02-05 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of January 1, 2019 (the "Vesting Commencement Date") and 1/48th of the total number of shares each monthly anniversary of the Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the Vesting Commencement Date. Read SEC document |
| December 03, 2018 Filed Dec 4, 2018 18:39 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | Exercise / conversionStock Option (Right to Buy) · Derivative | 5,044 | $0.00 Strike: $0.99 | $0.00 |
DisclosureSEC source: 0001209191-18-061036 · doc4.xml · derivative · entry 3 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,044 shares Expires 2019-04-20 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. F4 · derivative.exercise_date: The shares subject to this stock option are fully vested. Read SEC document |
| December 03, 2018 Filed Dec 4, 2018 18:39 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | SaleCommon Stock | 5,044 | $13.84 | $69,826.11 |
DisclosureSEC source: 0001209191-18-061036 · doc4.xml · nonDerivative · entry 2 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 831 F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 15, 2018. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.59 to $14.00, 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. Read SEC document |
| December 03, 2018 Filed Dec 4, 2018 18:39 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | Exercise / conversionCommon Stock | 5,044 | $0.99 | $4,993.56 |
DisclosureSEC source: 0001209191-18-061036 · doc4.xml · nonDerivative · entry 1 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,875 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 · shares: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 15, 2018. Read SEC document |
| November 01, 2018 Filed Nov 5, 2018 17:47 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | Exercise / conversionStock Option (Right to Buy) · Derivative | 5,040 | $0.00 Strike: $0.99 | $0.00 |
DisclosureSEC source: 0001209191-18-057264 · doc4.xml · derivative · entry 3 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,044 Underlying: Common Stock · 5,040 shares Expires 2019-04-20 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. F4 · derivative.exercise_date: The shares subject to this stock option are fully vested. Read SEC document |
| November 01, 2018 Filed Nov 5, 2018 17:47 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | SaleCommon Stock | 5,040 | $13.42 | $67,636.80 |
DisclosureSEC source: 0001209191-18-057264 · doc4.xml · nonDerivative · entry 2 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 831 F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 15, 2018 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.83 to $13.78, 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. Read SEC document |
| November 01, 2018 Filed Nov 5, 2018 17:47 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | Exercise / conversionCommon Stock | 5,040 | $0.99 | $4,989.60 |
DisclosureSEC source: 0001209191-18-057264 · doc4.xml · nonDerivative · entry 1 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,871 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 · shares: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 15, 2018. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 18:33 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | Exercise / conversionStock Option (Right to Buy) · Derivative | 5,040 | $0.00 Strike: $0.99 | $0.00 |
DisclosureSEC source: 0001209191-18-054090 · doc4.xml · derivative · entry 4 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,084 Underlying: Common Stock · 5,040 shares Expires 2019-04-20 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. F5 · derivative.exercise_date: The shares subject to this stock option are fully vested. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 18:33 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | SaleCommon Stock | 2,000 | $15.97 | $31,944.20 |
DisclosureSEC source: 0001209191-18-054090 · doc4.xml · nonDerivative · entry 3 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 831 F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 15, 2018. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.76 to $16.52, 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 4 to this Form 4. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 18:33 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | SaleCommon Stock | 3,040 | $15.26 | $46,385.23 |
DisclosureSEC source: 0001209191-18-054090 · doc4.xml · nonDerivative · entry 2 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,831 F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 15, 2018. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.76 to $15.755, 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. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 18:33 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | Exercise / conversionCommon Stock | 5,040 | $0.99 | $4,989.60 |
DisclosureSEC source: 0001209191-18-054090 · doc4.xml · nonDerivative · entry 1 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,871 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 · shares: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 15, 2018. Read SEC document |
| September 04, 2018 Filed Sep 6, 2018 17:08 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | Exercise / conversionStock Option (Right to Buy) · Derivative | 5,040 | $0.00 Strike: $0.99 | $0.00 |
DisclosureSEC source: 0001209191-18-049877 · doc4.xml · derivative · entry 3 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,124 Underlying: Common Stock · 5,040 shares Expires 2019-04-20 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. F4 · derivative.exercise_date: The shares subject to this stock option are fully vested. Read SEC document |
| September 04, 2018 Filed Sep 6, 2018 17:08 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | SaleCommon Stock | 5,040 | $18.00 | $90,698.83 |
DisclosureSEC source: 0001209191-18-049877 · doc4.xml · nonDerivative · entry 2 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 831 F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 15, 2018. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.80 to $18.125, 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. Read SEC document |
| September 04, 2018 Filed Sep 6, 2018 17:08 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | Exercise / conversionCommon Stock | 5,040 | $0.99 | $4,989.60 |
DisclosureSEC source: 0001209191-18-049877 · doc4.xml · nonDerivative · entry 1 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,871 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 · shares: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 15, 2018. Read SEC document |
| August 01, 2018 Filed Aug 2, 2018 17:48 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | Exercise / conversionStock Option (Right to Buy) · Derivative | 5,040 | $0.00 Strike: $0.99 | $0.00 |
DisclosureSEC source: 0001209191-18-045042 · doc4.xml · derivative · entry 4 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,164 Underlying: Common Stock · 5,040 shares Expires 2019-04-20 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. F5 · derivative.exercise_date: The shares subject to this stock option are fully vested. Read SEC document |
| August 01, 2018 Filed Aug 2, 2018 17:48 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | SaleCommon Stock | 980 | $19.76 | $19,368.52 |
DisclosureSEC source: 0001209191-18-045042 · doc4.xml · nonDerivative · entry 3 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 831 F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 15, 2018. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.70 to $19.90, 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 4 to this Form 4. Read SEC document |
| August 01, 2018 Filed Aug 2, 2018 17:48 UTC | ALDER BIOPHARMACEUTICALS INC ALDR · Entity 154258 | SaleCommon Stock | 4,060 | $19.49 | $79,120.47 |
DisclosureSEC source: 0001209191-18-045042 · doc4.xml · nonDerivative · entry 2 Smith Jeffrey T L · CIK 0001604800 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,811 F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 15, 2018. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.70 to $19.6750, 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.