SEC Form 4 · accession 0001209191-17-037970
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
Jun 1, 2017
Accepted (ET)
Jun 5, 2017 · 7:25 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 | Jun 1, 2017 | M | 77,971 | $0.52 | A | 117,871 | D | |
| Common StockF2 | Jun 1, 2017 | S | 77,971 | $10.002 | D | 39,900 | D | |
| Common Stock | Jun 2, 2017 | M | 48,753 | $0.52 | A | 88,653 | D | |
| Common StockF3 | Jun 2, 2017 | S | 48,753 | $10.0975 | D | 39,900 | D | |
| Common Stock | Jun 5, 2017 | M | 17,577 | $0.52 | A | 57,477 | D | |
| Common StockF4 | Jun 5, 2017 | S | 17,577 | $9.9919 | D | 39,900 | 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)F5 | $0.52 | Jun 1, 2017 | M | 77,971 | D | — | Oct 23, 2021 | Common Stock | 77,971 | 129,901 | D |
| Employee Stock Option (right to buy)F5 | $0.52 | Jun 2, 2017 | M | 48,753 | D | — | Oct 23, 2021 | Common Stock | 48,753 | 81,148 | D |
| Employee Stock Option (right to buy)F5 | $0.52 | Jun 5, 2017 | M | 17,577 | D | — | Oct 23, 2021 | Common Stock | 17,577 | 63,571 | 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 May 30, 2017.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.90 to $10.13, 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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.90 to $10.33, 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.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.90 to $10.10, 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.
- F5The shares subject to the Option were fully vested as of September 1, 2015.