SEC Form 4 · accession 0001209191-15-081145

ADURO BIOTECH, INC. · ADRO

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

Reporting owner

Dirk G. Brockstedt

Officer — Sr. VP of Research and Dev.

Period of report

Nov 16, 2015

Accepted (ET)

Nov 18, 2015 · 8:24 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
Common Stock^F1	Nov 16, 2015	M	5,953	$0.45	A	7,423	D
Common Stock^F3	Nov 16, 2015	S	5,953	$27.50	D	1,470	D
Common Stock^F4	Nov 16, 2015	S	1,470	$27.61	D	0	D
Common Stock	Nov 17, 2015	M	9,215	$0.45	A	9,215	D
Common Stock	Nov 17, 2015	M	2,417	$0.45	A	11,632	D
Common Stock	Nov 17, 2015	M	2,766	$0.45	A	14,398	D
Common Stock	Nov 17, 2015	M	4,649	$1.45	A	19,047	D
Common Stock^F5	Nov 17, 2015	S	2,100	$27.78	D	16,947	D
Common Stock^F6	Nov 17, 2015	S	16,947	$28.76	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	$0.45	Nov 16, 2015	M	5,953	D	—	Mar 18, 2020	Common Stock	5,953	81,454	D
Stock Option (Right to Buy)^F7	$0.45	Nov 17, 2015	M	9,215	D	—	Mar 18, 2020	Common Stock	9,215	72,239	D
Stock Option (Right to Buy)^F7	$0.45	Nov 17, 2015	M	2,417	D	—	Mar 18, 2020	Common Stock	2,417	18,133	D
Stock Option (Right to Buy)^F7	$0.45	Nov 17, 2015	M	2,766	D	—	Mar 18, 2020	Common Stock	2,766	8,299	D
Stock Option (Right to Buy)^F8	$1.45	Nov 17, 2015	M	4,649	D	—	Jan 9, 2025	Common Stock	4,649	328,062	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 September 13, 2015.
F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.14 to $28.05, 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 $27.59 to $27.66, 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 $27.36 to $28.34, 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 $28.35 to $29.00, 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 are fully vested and immediately exercisable.
F8The shares subject to the Option vest in 48 equal monthly installments from the vesting commencement date of January 10, 2015.