SEC Form 4 · accession 0001209191-15-035578

ADURO BIOTECH, INC. · ADRO

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Apr 20, 2015

Accepted (ET)

Apr 22, 2015 · 5:44 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001435049

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	Apr 20, 2015	C	206	—	A	14,762	D
Common Stock^F1,F2	Apr 20, 2015	C	5,562	—	A	12,162	I	By Turnpike Properties, LLC
Common Stock^F1,F3	Apr 20, 2015	C	1,908	—	A	4,172	I	By Triton Holdings LLC
Common Stock^F1,F3	Apr 20, 2015	C	72,000	—	A	76,172	I	By Triton Holdings LLC
Common Stock^F1,F3	Apr 20, 2015	C	202,039	—	A	278,211	I	By Triton Holdings LLC
Common Stock^F1,F3	Apr 20, 2015	C	68,559	—	A	346,770	I	By Triton Holdings LLC
Common Stock^F1,F3	Apr 20, 2015	C	26,637	—	A	373,407	I	By Triton Holdings LLC
Common Stock^F1,F4	Apr 20, 2015	C	8,480	—	A	18,544	I	By Triton Systems, Inc.
Common Stock^F1,F4	Apr 20, 2015	C	249,302	—	A	267,846	I	By Triton Systems, Inc.
Common Stock^F1,F4	Apr 20, 2015	C	477,617	—	A	745,463	I	By Triton Systems, Inc.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series A Preferred Stock^F1,F5	—	Apr 20, 2015	C	206	D	—	—	Common Stock	206	0	D
Series A Preferred Stock^F2,F1,F5	—	Apr 20, 2015	C	5,562	D	—	—	Common Stock	5,562	0	I
Series A Preferred Stock^F4,F1,F5	—	Apr 20, 2015	C	8,480	D	—	—	Common Stock	8,480	0	I
Series A Preferred Stock^F3,F1,F5	—	Apr 20, 2015	C	1,908	D	—	—	Common Stock	1,908	0	I
Series A-1 Preferred Stock^F4,F1,F5	—	Apr 20, 2015	C	249,302	D	—	—	Common Stock	249,302	0	I
Series A-1 Preferred Stock^F3,F1,F5	—	Apr 20, 2015	C	72,000	D	—	—	Common Stock	72,000	0	I
Series B Preferred Stock^F4,F1	—	Apr 20, 2015	C	477,617	D	—	—	Common Stock	477,617	0	I
Series B Preferred Stock^F3,F1	—	Apr 20, 2015	C	202,039	D	—	—	Common Stock	202,039	0	I
Series C Preferred Stock^F3,F1	—	Apr 20, 2015	C	68,559	D	—	—	Common Stock	68,559	0	I
Series D Preferred Stock^F3,F1	—	Apr 20, 2015	C	26,637	D	—	—	Common Stock	26,637	0	I
Series B Preferred Stock Warrant (right to buy)^F4	$1.1937	Apr 20, 2015	D	3,373	D	Apr 15, 2011	Apr 15, 2016	Series B Preferred Stock	2,428	0	I
Common Stock Warrant (right to buy)^F4	$1.66	Apr 20, 2015	A	2,428	A	Apr 15, 2011	Apr 15, 2016	Common Stock	2,428	2,428	I

F1Each share of Series A Preferred Stock, Series A-1 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, and Series D Preferred Stock automatically converted into 0.72 of a share of common stock immediately prior to the closing of the Issuer's initial public offering, and has no expiration date.
F2The shares are held by Turnpike Properties, LLC, over which the Reporting Person exercises voting and dispositive control.
F3The shares are held by Triton Holdings LLC, over which the Reporting Person exercises voting and dispositive control.
F4The shares are held by Triton Systems, Inc., over which the Reporting Person exercises voting and dispositive control.
F5Reflects 0.72-for-1 reverse stock split which became effective on April 1, 2015.
F6Pursuant to the terms of the Series B Preferred Stock Warrant (the "Old Warrant"), effective upon conversion of all outstanding shares of Series B Preferred Stock of the Issuer, the Old Warrant converts into a Warrant to purchase shares of Common Stock of the Issuer (the "New Warrant"). The two transactions reported in Table II above show the cancellation of the Old Warrant and acquisition of the New Warrant in connection with the automatic conversion of the Series B Preferred Stock into 0.72 of a share of common stock immediately prior to the closing of the Issuer's initial public offering.