SEC Form 4 · accession 0001209191-17-044233

ADURO BIOTECH, INC. · ADRO

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

Reporting owner

Officer — EVP of Research and Dev.

Period of report

Jul 3, 2017

Accepted (ET)

Jul 6, 2017 · 7:11 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
Common Stock	Jul 3, 2017	M	4,656	$0.52	A	53,956	D
Common Stock	Jul 3, 2017	M	299	$0.45	A	54,255	D
Common Stock	Jul 3, 2017	M	5,045	$0.45	A	59,300	D
Common Stock^F2	Jul 3, 2017	S	10,000	$11.0167	D	49,300	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to Buy)^F3	$0.52	Jul 3, 2017	M	4,656	D	—	Oct 24, 2021	Common Stock	4,656	164,291	D
Stock Option (Right to Buy)^F4	$0.45	Jul 3, 2017	M	299	D	—	Mar 18, 2020	Common Stock	299	0	D
Stock Option (Right to Buy)^F4	$0.45	Jul 3, 2017	M	5,045	D	—	Mar 18, 2020	Common Stock	5,045	13,088	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 12, 2017.
F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.80 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.
F3Twenty-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.
F4The shares subject to the Option are fully vested and immediately exercisable.