SEC Form 4 · accession 0001209191-15-035589

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 · 5:50 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,F2	Apr 20, 2015	C	18,949	—	A	18,949	I	By Lisa M. Rogers
Common Stock^F1,F2	Apr 20, 2015	C	7,200	—	A	26,149	I	By Lisa M. Rogers
Common Stock^F1,F3	Apr 20, 2015	C	18,949	—	A	18,949	I	By Michael J. Rogers
Common Stock^F1,F3	Apr 20, 2015	C	7,200	—	A	26,149	I	By Michael J. Rogers
Common Stock^F1,F4	Apr 20, 2015	C	18,949	—	A	18,949	I	By Molly Rogers
Common Stock^F1,F4	Apr 20, 2015	C	7,200	—	A	26,149	I	By Molly Rogers
Common Stock^F4	Apr 20, 2015	P	10,000	$17.00	A	36,149	I	By Molly Rogers
Common Stock^F1,F5	Apr 20, 2015	C	18,949	—	A	18,949	I	By Peter Rogers
Common Stock^F1,F5	Apr 20, 2015	C	7,200	—	A	26,149	I	By Peter Rogers
Common Stock^F5	Apr 20, 2015	P	7,500	$17.00	A	33,649	I	By Peter Rogers
Common Stock^F1,F6	Apr 20, 2015	C	18,949	—	A	18,949	I	By Sara Rogers
Common Stock^F1,F6	Apr 20, 2015	C	7,200	—	A	26,149	I	By Sara Rogers

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series C Preferred Stock^F2,F1	—	Apr 20, 2015	C	18,949	D	—	—	Common Stock	18,949	I
Series D Preferred Stock^F2,F1	—	Apr 20, 2015	C	7,200	D	—	—	Common Stock	7,200	I
Series C Preferred Stock^F3,F1	—	Apr 20, 2015	C	18,949	D	—	—	Common Stock	18,949	I
Series D Preferred Stock^F3,F1	—	Apr 20, 2015	C	7,200	D	—	—	Common Stock	7,200	I
Series C Preferred Stock^F4,F1	—	Apr 20, 2015	C	18,949	D	—	—	Common Stock	18,949	I
Series D Preferred Stock^F4,F1	—	Apr 20, 2015	C	7,200	D	—	—	Common Stock	7,200	I
Series C Preferred Stock^F5,F1	—	Apr 20, 2015	C	18,949	D	—	—	Common Stock	18,949	I
Series D Preferred Stock^F5,F1	—	Apr 20, 2015	C	7,200	D	—	—	Common Stock	7,200	I
Series C Preferred Stock^F6,F1	—	Apr 20, 2015	C	18,949	D	—	—	Common Stock	18,949	I
Series D Preferred Stock^F6,F1	—	Apr 20, 2015	C	7,200	D	—	—	Common Stock	7,200	I

F1Each share of 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 Lisa M. Rogers, over which John E. Rogers exercises voting control.
F3The securities are held by Michael J. Rogers, over which John E. Rogers exercises voting control.
F4The securities are held by Molly Rogers, over which John E. Rogers exercises voting control.
F5The securities are held by Peter Rogers, over which John E. Rogers exercises voting control.
F6The securities are held by Sara Rogers, over which John E. Rogers exercises voting control.

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