SEC Form 4 · accession 0001209191-15-035587

ADURO BIOTECH, INC. · ADRO

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

Reporting owner

10% Owner

Period of report

Apr 20, 2015

Accepted (ET)

Apr 22, 2015 · 5:49 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	14,400	—	A	28,308	D
Common Stock^F1	Apr 20, 2015	C	543,988	—	A	572,296	D
Common Stock^F1	Apr 20, 2015	C	2,193,460	—	A	2,765,756	D
Common Stock^F1	Apr 20, 2015	C	2,847,774	—	A	5,613,530	D
Common Stock^F1	Apr 20, 2015	C	231,171	—	A	5,844,701	D
Common Stock	Apr 20, 2015	P	147,058	$17.00	A	5,991,759	D
Common Stock^F1,F2	Apr 20, 2015	C	37,898	—	A	37,898	I	By Buchholz Rogers Family Living Trust 2012
Common Stock^F1,F2	Apr 20, 2015	C	14,400	—	A	52,298	I	By Buchholz Rogers Family Living Trust 2012
Common Stock^F1,F3	Apr 20, 2015	C	18,949	—	A	18,949	I	By Christopher Hagerman
Common Stock^F1,F3	Apr 20, 2015	C	7,200	—	A	26,149	I	By Christopher Hagerman
Common Stock^F1,F4	Apr 20, 2015	C	37,898	—	A	37,898	I	By Phan Rogers Trust
Common Stock^F1,F4	Apr 20, 2015	C	14,400	—	A	52,298	I	By Phan Rogers Trust
Common Stock^F1,F5	Apr 20, 2015	C	18,949	—	A	18,949	I	By Joseph Rogers
Common Stock^F1,F5	Apr 20, 2015	C	7,200	—	A	26,149	I	By Joseph Rogers

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series A Preferred Stock^F1	—	Apr 20, 2015	C	14,400	D	—	—	Common Stock	14,400	0	D
Series A-1 Preferred Stock^F1	—	Apr 20, 2015	C	543,988	D	—	—	Common Stock	543,988	0	D
Series B Preferred Stock^F1	—	Apr 20, 2015	C	2,193,460	D	—	—	Common Stock	2,193,460	0	D
Series C Preferred Stock^F1	—	Apr 20, 2015	C	2,847,774	D	—	—	Common Stock	2,847,774	0	D
Series D Preferred Stock^F1	—	Apr 20, 2015	C	231,171	D	—	—	Common Stock	231,171	0	D
Series B Preferred Stock Warrant (right to buy)^F6	$1.1937	Apr 20, 2015	D	11,815	D	Apr 15, 2011	Apr 15, 2016	Series B Preferred Stock	8,506	0	D
Common Stock Warrant (right to buy)^F6	$1.66	Apr 20, 2015	A	8,506	A	Apr 15, 2011	Apr 15, 2016	Common Stock	8,506	8,506	D
Series C Preferred Stock^F2,F1	—	Apr 20, 2015	C	37,898	D	—	—	Common Stock	37,898	0	I
Series D Preferred Stock^F2,F1	—	Apr 20, 2015	C	14,400	D	—	—	Common Stock	14,400	0	I
Series C Preferred Stock^F3,F1	—	Apr 20, 2015	C	18,949	D	—	—	Common Stock	18,949	0	I
Series D Preferred Stock^F3,F1	—	Apr 20, 2015	C	7,200	D	—	—	Common Stock	7,200	0	I
Series C Preferred Stock^F4,F1	—	Apr 20, 2015	C	37,898	D	—	—	Common Stock	37,898	0	I
Series D Preferred Stock^F4,F1	—	Apr 20, 2015	C	14,400	D	—	—	Common Stock	14,400	0	I
Series C Preferred Stock^F5,F1	—	Apr 20, 2015	C	18,949	D	—	—	Common Stock	18,949	0	I
Series D Preferred Stock^F5,F1	—	Apr 20, 2015	C	7,200	D	—	—	Common Stock	7,200	0	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 securities are held by Buchholz Rogers Family Living Trust 2012, over which John E. Rogers exercises voting control.
F3The securities are held by Christopher Hagerman, over which John E. Rogers exercises voting control.
F4The securities are held by Phan Rogers Trust, over which John E. Rogers exercises voting control.
F5The securities are held by Joseph Rogers, over which John E. Rogers exercises voting control.
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.

This is the first of two Forms 4 filed by the reporting person on the same date, April 22, 2015.