SEC Form 4 · accession 0001209191-16-149953
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
Nov 10, 2016
Accepted (ET)
Nov 14, 2016 · 7:02 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 | Nov 10, 2016 | M | 10,910 | $0.82 | A | 53,505 | D | |
| Common Stock | Nov 10, 2016 | S | 10,910 | $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 | Nov 10, 2016 | M | 10,910 | D | — | Nov 26, 2023 | Common Stock | 10,910 | 107,709 | 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 17, 2016.
- F2Twenty-five percent of the shares subject to the Option vests on the first anniversary of the vesting commencement date of October 25, 2014, and the remainder vests in 36 equal monthly installments thereafter for the following three years.