SEC Form 4 · accession 0001209191-18-001395
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
Dec 29, 2017
Accepted (ET)
Jan 3, 2018 · 7:03 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 | Dec 29, 2017 | M | 52,000 | $1.45 | A | 124,603 | 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)F1 | $1.45 | Dec 29, 2017 | M | 52,000 | D | — | Jan 9, 2025 | Common Stock | 52,000 | 173,998 | D |
Explanation of responses
- F1The shares subject to the Option vest in 48 equal monthly installments from the vesting commencement date of January 10, 2015.