Annual report pursuant to section 13 or 15(d) of the securities exchange act of 1934


Download 2.31 Mb.
NameAnnual report pursuant to section 13 or 15(d) of the securities exchange act of 1934
page1/51
A typeReport
  1   2   3   4   5   6   7   8   9   ...   51



 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 10-K

 

 

(Mark One)



ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

 

For the fiscal year ended December 31, 2016

 

OR

 



TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM      TO

 

Commission File Number 001-36431

 

 

Alder BioPharmaceuticals, Inc.

(Exact name of Registrant as specified in its Charter)

 

 

Delaware

 

90-0134860

(State or other jurisdiction of

incorporation or organization)

 

(I.R.S. Employer

Identification No.)

 

11804 North Creek Parkway South

Bothell, WA

 

98011

(Address of principal executive offices)

 

(Zip Code)

 

Registrant’s telephone number, including area code: (425) 205-2900

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of Each Class

 

Name of Exchange on Which Registered

Common Stock, $0.0001 par value per share

 

The NASDAQ Stock Market LLC

(The NASDAQ Global Market)

 

Securities registered pursuant to Section 12(g) of the Act:

 

None

 

 

Indicate by check mark if the Registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act.    YES ☒    NO  ☐

 

Indicate by check mark if the Registrant is not required to file reports pursuant to Section 13 or 15(d) of the Act.    YES  ☐    NO  ☒

 

Indicate by check mark whether the Registrant: (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the Registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days.    YES  ☒    NO  ☐

 

Indicate by check mark whether the Registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the Registrant was required to submit and post such files).    YES  ☒    NO  ☐

 

Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K (§229.405) is not contained herein, and will not be contained, to the best of Registrant’s knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K.  ☐

 

Indicate by check mark whether the Registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definition of “large accelerated filer”, “accelerated filer”, and “smaller reporting company” in Rule 12b-2 of the Exchange Act. (Check one):

 

Large accelerated filer

 



  

Accelerated filer

 



 

 

 

 

Non-accelerated filer

 

☐  (Do not check if a smaller reporting company)

  

Smaller reporting company

 



 

Indicate by check mark whether the Registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).    YES  ☐    NO  ☒

 

The aggregate market value of the voting and non-voting common equity held by non-affiliates of the Registrant, based on the closing price of the Registrant’s common stock on The NASDAQ Stock Market on June 30, 2016, the last business day of its most recently completed second fiscal quarter, was $1,129,662,202.  Excludes an aggregate of 4,919,109 shares of the Registrant’s common stock held as of such date by officers, directors and stockholders that the Registrant has concluded are or were affiliates of the Registrant. Exclusion of such shares should not be construed to indicate that the holder of any such shares possesses the power, direct or indirect, to direct or cause the direction of the management or policies of the Registrant or that such person is controlled by or under common control with the Registrant.

 

 

The number of shares of Registrant’s Common Stock outstanding as of February 22, 2017 was 50,409,220.

 

DOCUMENTS INCORPORATED BY REFERENCE





Part III incorporates information by reference from the Registrant’s definitive proxy statement to be filed with the Securities and Exchange Commission pursuant to Regulation 14A, not later than 120 days after the end of the fiscal year covered by this Annual Report on Form 10-K, in connection with the Registrant’s 2017 Annual Meeting of Stockholders (the “ 2017 Proxy Statement ”).

 

 

 

 

 

 

Alder BioPharmaceuticals, Inc.

 

Annual Report on Form 10-K

 

For the Year Ended December 31, 2016

 

INDEX

 

 

  

 

 

Page

PART I

 

 

Item 1.

  

Business

 

3

Item 1A.

  

Risk Factors

 

21

Item 1B.

  

Unresolved Staff Comments

 

46

Item 2.

  

Properties

 

46

Item 3.

  

Legal Proceedings

 

46

Item 4.

  

Mine Safety Disclosures

 

46

PART II

 

47

Item 5.

  

Market for Registrant’s Common Equity, Related Stockholders Matters and Issuer Purchases of Equity Securities

 

47

Item 6.

  

Selected Consolidated Financial Data

 

49

Item 7.

  

Management’s Discussion and Analysis of Financial Condition and Results of Operations

 

51

Item 7A.

  

Quantitative and Qualitative Disclosures About Market Risk

 

64

Item 8.

  

Financial Statements and Supplementary Data

 

65

Item 9.

  

Changes in and Disagreements with Accountants on Accounting and Financial Disclosure

 

93

Item 9A.

  

Controls and Procedures

 

93

Item 9B.

  

Other Information

 

93

PART III

 

94

Item 10.

  

Directors, Executive Officers and Corporate Governance

 

94

Item 11.

  

Executive Compensation

 

94

Item 12.

  

Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters

 

94

Item 13.

  

Certain Relationships and Related Transactions, and Director Independence

 

94

Item 14.

  

Principal Accountant Fees and Services

 

94

PART IV

 

95

Item 15.

  

Exhibits and Financial Statement Schedules

 

95

Item 16.

 

Summary

 

95

 

  

Signatures

 

96
  1   2   3   4   5   6   7   8   9   ...   51

Share in:

Related:

Annual report pursuant to section 13 or 15(d) of the securities exchange act of 1934 iconAnnual report pursuant to section 13 or 15(d) of the securities exchange act of 1934

Annual report pursuant to section 13 or 15(d) of the securities exchange act of 1934 iconÞ annual report pursuant to section 13 or 15(d) of the securities exchange act of 1934

Annual report pursuant to section 13 or 15(d) of the securities exchange act of 1934 iconAnnual report pursuant to section 13 or 15(d) of the securities exchange act of 1934

Annual report pursuant to section 13 or 15(d) of the securities exchange act of 1934 iconÞ annual report pursuant to section 13 or 15(d) of the securities exchange act of 1934

Annual report pursuant to section 13 or 15(d) of the securities exchange act of 1934 iconAnnual report pursuant to section 13 or 15(d) of the securities exchange act of 1934

Annual report pursuant to section 13 or 15(d) of the securities exchange act of 1934 iconAnnual report pursuant to section 13 or 15(d) of the securities exchange act of 1934

Annual report pursuant to section 13 or 15(d) of the securities exchange act of 1934 iconAnnual report pursuant to section 13 or 15 (d) of the securities exchange act of 1934

Annual report pursuant to section 13 or 15(d) of the securities exchange act of 1934 iconÝ annual report pursuant to section 13 or 15(d) of the securities exchange act of 1934

Annual report pursuant to section 13 or 15(d) of the securities exchange act of 1934 iconAnnual report pursuant to section 13 or 15(d) of the securities exchange act of 1934

Annual report pursuant to section 13 or 15(d) of the securities exchange act of 1934 iconAnnual report pursuant to section 13 or 15(d) of the securities exchange act of 1934

Annual report pursuant to section 13 or 15(d) of the securities exchange act of 1934 iconAnnual report pursuant to section 13 or 15(d) of the securities exchange act of 1934

Annual report pursuant to section 13 or 15(d) of the securities exchange act of 1934 iconAnnual report pursuant to section 13 or 15(d) of the securities exchange act of 1934

Annual report pursuant to section 13 or 15(d) of the securities exchange act of 1934 iconÞ annual report pursuant to section 13 or 15(d) of the securities exchange act of 1934

Annual report pursuant to section 13 or 15(d) of the securities exchange act of 1934 iconAnnual report pursuant to section 13 or 15(d) of the securities exchange act of 1934

Annual report pursuant to section 13 or 15(d) of the securities exchange act of 1934 iconAnnual report pursuant to section 13 or 15(d) of the securities exchange act of 1934

Annual report pursuant to section 13 or 15(d) of the securities exchange act of 1934 iconAnnual report pursuant to section 13 or 15(d) of the securities exchange act of 1934

Annual report pursuant to section 13 or 15(d) of the securities exchange act of 1934 iconAnnual report pursuant to section 13 or 15(d) of the securities exchange act of 1934

Annual report pursuant to section 13 or 15(d) of the securities exchange act of 1934 iconAnnual report pursuant to section 13 or 15(d) of the securities exchange act of 1934

Annual report pursuant to section 13 or 15(d) of the securities exchange act of 1934 iconAnnual report pursuant to section 13 or 15(d) of the securities exchange act of 1934

Annual report pursuant to section 13 or 15(d) of the securities exchange act of 1934 iconAnnual report pursuant to section 13 or 15(d) of the securities exchange act of 1934




manual


When copying material provide a link © 2017
contacts
manual-guide.com
search