SEC Form 4 · accession 0001209191-16-132075
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
Jul 5, 2016
Accepted (ET)
Jul 7, 2016 · 6:38 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 | Jul 5, 2016 | M | 13,939 | $1.45 | A | 13,939 | D | |
| Common Stock | Jul 5, 2016 | M | 11,061 | $0.52 | A | 25,000 | D | |
| Common Stock | Jul 5, 2016 | S | 25,000 | $11.61 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $1.45 | Jul 5, 2016 | M | 13,939 | D | — | Jan 9, 2025 | Common Stock | 13,939 | 259,576 | D |
| Employee Stock Option (right to buy)F3 | $0.52 | Jul 5, 2016 | M | 11,061 | D | — | Oct 23, 2021 | Common Stock | 11,061 | 107,191 | 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 June 2, 2016.
- F2The shares subject to the Option vest in 48 equal monthly installments from the vesting commencement date of January 10, 2015.
- F3The shares subject to the Option were fully vested as of December 31, 2015.