SEC Form 4 · accession 0001209191-15-081133
ADURO BIOTECH, INC. · ADRO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas W. Dubensky
Officer — Chief Scientific Officer
Period of report
Nov 16, 2015
Accepted (ET)
Nov 18, 2015 · 8:11 pm EST
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 StockF1 | Nov 16, 2015 | M | 9,481 | $1.45 | A | 10,951 | D | |
| Common StockF3 | Nov 16, 2015 | S | 8,781 | $27.50 | D | 2,170 | D | |
| Common StockF4 | Nov 16, 2015 | S | 700 | $28.33 | D | 1,470 | D | |
| Common Stock | Nov 16, 2015 | S | 1,470 | $27.50 | D | 0 | D | |
| Common Stock | Nov 17, 2015 | M | 20,519 | $1.45 | A | 20,519 | D | |
| Common StockF5 | Nov 17, 2015 | S | 1,999 | $27.70 | D | 18,520 | D | |
| Common StockF6 | Nov 17, 2015 | S | 18,520 | $28.75 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F7 | $1.45 | Nov 16, 2015 | M | 9,481 | D | — | Jan 9, 2025 | Common Stock | 9,481 | 323,230 | D |
| Stock Option (Right to Buy)F7 | $1.45 | Nov 17, 2015 | M | 20,519 | D | — | Jan 9, 2025 | Common Stock | 20,519 | 302,711 | D |
Explanation of responses
- F1Includes 1,470 shares acquired by Reporting Person under the Issuer's Employee Stock Purchase Plan on November 13, 2015.
- F2The sales reported in this Form 4 were affected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 28, 2015.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.13 to $27.95, 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.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.05 to $28.50, 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.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.37 to $28.16, 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.
- F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.22 to $28.81, 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.
- F7The shares subject to the Option vest in 48 equal monthly installments from the vesting commencement date of January 10, 2015.