SEC Form 4 · accession 0001209191-16-150735
ADURO BIOTECH, INC. · ADRO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ross Haghighat
Director
Period of report
Nov 14, 2016
Accepted (ET)
Nov 16, 2016 · 9:19 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 StockF2 | Nov 14, 2016 | S | 7,088 | $15.50 | D | 81,880 | D | |
| Common Stock | Aug 31, 2015 | J | 745,463 | $0.00 | D | 0 | I | By Triton Systems, Inc. |
Table II — derivative securities
No Table II lines on this filing.
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 October 10, 2016.
- F2Includes 74,206 shares received by the Reporting Person as a distribution by Triton Holdings LLC.
- F3As of August 31, 2015, the Reporting Person no longer has voting or dispositive control over the securities held by Triton Systems, Inc.
Remarks
This Form 4 does not include indirect ownership of the shares held by Turnpike Properties, LLC and Triton Holdings, LLC attributed to the Reporting Person, that were erroneously reported on the Form 4 filed on April 22, 2015 with the SEC (the "Prior Form 4"). Subsequent to filing of the Prior Form 4, the Issuer was notified that the Reporting Person did not have the right to exercise voting and dispositive control over the shares held by these entities at the time the Prior Form 4 was filed.