SEC Form 4 · accession 0001209191-15-082974
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
Dec 1, 2015
Accepted (ET)
Dec 2, 2015 · 6:24 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 1, 2015 | M | 22,264 | $1.45 | A | 22,264 | D | |
| Common Stock | Dec 1, 2015 | M | 3,649 | $0.45 | A | 25,913 | D | |
| Common Stock | Dec 1, 2015 | M | 4,087 | $7.45 | A | 30,000 | D | |
| Common StockF2 | Dec 1, 2015 | S | 20,374 | $29.14 | D | 9,626 | D | |
| Common StockF3 | Dec 1, 2015 | S | 1,890 | $29.81 | D | 7,736 | D | |
| Common StockF4 | Dec 1, 2015 | S | 3,249 | $29.43 | D | 4,487 | D | |
| Common StockF5 | Dec 1, 2015 | S | 400 | $30.06 | D | 4,087 | D | |
| Common StockF6 | Dec 1, 2015 | S | 3,987 | $29.45 | D | 100 | D | |
| Common Stock | Dec 1, 2015 | S | 100 | $30.06 | 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 | Dec 1, 2015 | M | 22,264 | D | — | Jan 9, 2025 | Common Stock | 22,264 | 280,447 | D |
| Stock Option (Right to Buy)F8 | $0.45 | Dec 1, 2015 | M | 3,649 | D | — | Mar 18, 2020 | Common Stock | 3,649 | 0 | D |
| Stock Option (Right to Buy)F9 | $7.45 | Dec 1, 2015 | M | 4,087 | D | — | Mar 9, 2025 | Common Stock | 4,087 | 147,832 | D |
Explanation of responses
- F1The 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.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.66 to $29.645, 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.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.65 to $30.10, 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 $29.02 to $30.01, 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 $30.02 to $30.16, 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 $29.02 to $30.02, 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.
- F8The shares subject to the Option are fully vested and immediately exercisable.
- F9The shares subject to the Option vest in 48 equal monthly installments from the vesting commencement date of March 6, 2015.