SEC Form 4 · accession 0001209191-17-060714
ADURO BIOTECH, INC. · ADRO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dirk G. Brockstedt
Officer — EVP of Research and Dev.
Period of report
Nov 10, 2017
Accepted (ET)
Nov 14, 2017 · 6:09 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 Stock | Nov 10, 2017 | M | 1,815 | $0.52 | A | 75,533 | D | |
| Common StockF2 | Nov 10, 2017 | S | 1,815 | $8.0132 | D | 73,718 | D | |
| Common Stock | Nov 13, 2017 | M | 4,062 | $0.52 | A | 77,780 | D | |
| Common Stock | Nov 13, 2017 | S | 4,062 | $8.00 | D | 73,718 | 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)F3 | $0.52 | Nov 10, 2017 | M | 1,815 | D | — | Oct 24, 2021 | Common Stock | 1,815 | 50,018 | D |
| Stock Option (Right to Buy)F3 | $0.52 | Nov 13, 2017 | M | 4,062 | D | — | Oct 24, 2021 | Common Stock | 4,062 | 45,956 | 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 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 $8.00 to $8.10, 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.
- F3The shares subject to the Option became fully vested and exercisable as of April 15, 2015.