SEC Form 4 · accession 0001209191-18-003002
ADURO BIOTECH, INC. · ADRO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen T Isaacs
Officer — President and CEO · Director
Period of report
Jan 5, 2018
Accepted (ET)
Jan 9, 2018 · 5:48 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 | Jan 5, 2018 | M | 7,949 | $0.45 | A | 213,695 | D | |
| Common Stock | Jan 5, 2018 | S | 7,949 | $7.95 | D | 205,746 | D | |
| Common StockF2 | holding | — | — | — | 8,932 | I | By Family Trust |
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 | $0.45 | Jan 5, 2018 | M | 7,949 | D | — | Mar 18, 2020 | Common Stock | 7,949 | 41,310 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 16, 2017.
- F2The shares owned directly by the Isaacs-MacBride Family Trust UAD 03/09/01, for which the Reporting Person is a trustee.
- F3The shares subject to the Option are fully vested and immediately exercisable.