SEC Form 4 · accession 0001209191-17-061613
ADURO BIOTECH, INC. · ADRO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jennifer Lew
Officer — Sr. Vice President of Finance
Period of report
Nov 15, 2017
Accepted (ET)
Nov 17, 2017 · 6:42 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 15, 2017 | M | 6,600 | $0.82 | A | 68,938 | D | |
| Common Stock | Nov 15, 2017 | S | 6,600 | $8.95 | D | 62,338 | 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)F2 | $0.82 | Nov 15, 2017 | M | 6,600 | D | — | Nov 26, 2023 | Common Stock | 6,600 | 57,309 | 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 26, 2017.
- F2The shares subject to the Option are fully vested and immediately exercisable.