SEC Form 4 · accession 0001209191-16-153512

ADURO BIOTECH, INC. · ADRO

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Scientific Officer

Period of report

Dec 1, 2016

Accepted (ET)

Dec 5, 2016 · 7:21 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
Common Stock	Dec 1, 2016	M	13,863	$1.45	A	53,763	D
Common Stock	Dec 1, 2016	M	8,262	$0.52	A	62,025	D
Common Stock	Dec 1, 2016	M	2,875	$0.52	A	64,900	D
Common Stock^F2	Dec 1, 2016	S	25,000	$10.94	D	39,900	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right to buy)^F3	$1.45	Dec 1, 2016	M	13,863	D	—	Jan 9, 2025	Common Stock	13,863	180,220	D
Employee Stock Option (right to buy)^F4	$0.52	Dec 1, 2016	M	8,262	D	—	Oct 23, 2021	Common Stock	8,262	64,422	D
Employee Stock Option (right to buy)^F5	$0.52	Dec 1, 2016	M	2,875	D	—	Oct 23, 2021	Common Stock	2,875	216,736	D

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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.55 to $11.40, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
F3The shares subject to the Option vest in 48 equal monthly installments from the vesting commencement date of January 10, 2015.
F4The shares subject to the Option were fully vested as of December 31, 2015.
F5The shares subject to the Option were fully vested as of September 1, 2015.