SEC Form 4 · accession 0001209191-16-142282
ADURO BIOTECH, INC. · ADRO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jennifer Lew
Officer — Sr. Vice President of Finance
Period of report
Sep 19, 2016
Accepted (ET)
Sep 21, 2016 · 4:57 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 | Sep 19, 2016 | M | 5,455 | $0.82 | A | 48,955 | D | |
| Common Stock | Sep 19, 2016 | S | 6,360 | $14.95 | D | 42,595 | 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)F2 | $0.82 | Sep 19, 2016 | M | 5,455 | D | — | Nov 26, 2023 | Common Stock | 5,455 | 118,619 | 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 19, 2015.
- F2Twenty-five percent of the shares subject to the Option vests on the first anniversary of the vesting commencement date, and the remainder vests in 36 equal monthly installments thereafter for the following three years.