SEC Form 4 · accession 0001209191-16-101069
ADURO BIOTECH, INC. · ADRO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Period of report
Feb 18, 2016
Accepted (ET)
Feb 22, 2016 · 5:59 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 | Feb 18, 2016 | X | 44,215 | $1.66 | A | 19,087,733 | D | |
| Common Stock | Feb 18, 2016 | X | 241,260 | $0.0001 | A | 19,328,993 | D | |
| Common Stock | Feb 18, 2016 | X | 150,787 | $0.0001 | A | 19,479,780 | D | |
| Common Stock | Feb 18, 2016 | X | 60,315 | $0.0001 | A | 19,540,095 | D | |
| Common Stock | Feb 18, 2016 | X | 33,179 | $0.01 | A | 19,573,274 | D | |
| Common Stock | Feb 18, 2016 | X | 232,258 | $0.01 | A | 19,805,532 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Warrant (right to buy) | $1.66 | Feb 18, 2016 | X | 44,215 | D | Apr 15, 2011 | Apr 15, 2016 | Common Stock | 44,215 | 0 | D |
| Common Stock Warrant (right to buy) | $0.0001 | Feb 18, 2016 | X | 241,260 | D | Jun 20, 2011 | Apr 15, 2021 | Common Stock | 241,260 | 0 | D |
| Common Stock Warrant (right to buy) | $0.0001 | Feb 18, 2016 | X | 150,787 | D | Oct 31, 2011 | Apr 15, 2021 | Common Stock | 150,787 | 0 | D |
| Common Stock Warrant (right to buy) | $0.0001 | Feb 18, 2016 | X | 60,315 | D | Apr 15, 2011 | Apr 15, 2021 | Common Stock | 60,315 | 0 | D |
| Common Stock Warrant (right to buy) | $0.01 | Feb 18, 2016 | X | 33,179 | D | Dec 31, 2013 | Dec 31, 2023 | Common Stock | 33,179 | 0 | D |
| Common Stock Warrant (right to buy) | $0.01 | Feb 18, 2016 | X | 232,258 | D | Aug 12, 2013 | Aug 12, 2023 | Common Stock | 232,258 | 0 | D |