SEC Form 4 · accession 0001209191-17-048673
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
Aug 10, 2017
Accepted (ET)
Aug 11, 2017 · 8:03 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 | Aug 10, 2017 | M | 40,912 | $1.00 | A | 80,812 | D | |
| Common StockF2 | Aug 10, 2017 | S | 40,912 | $11.431 | D | 39,900 | D | |
| Common Stock | Aug 11, 2017 | M | 9,088 | $1.00 | A | 48,988 | D | |
| Common StockF3 | Aug 11, 2017 | S | 9,088 | $11.1728 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F4 | $1.00 | Aug 10, 2017 | M | 40,912 | D | — | Jul 30, 2024 | Common Stock | 40,912 | 135,416 | D |
| Stock Option (Right to Buy)F4 | $1.00 | Aug 11, 2017 | M | 9,088 | D | — | Jul 30, 2024 | Common Stock | 9,088 | 126,328 | 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 $11.10 to $12.00, 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 $11.10 to $11.28, 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 shares subject to the Option vest in 48 equal monthly installments from the vesting commencement date of July 31, 2014.