SEC Form 4 · accession 0001209191-18-005731
ADURO BIOTECH, INC. · ADRO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory W Schafer
Officer — Chief Operating Officer
Period of report
Jan 25, 2018
Accepted (ET)
Jan 26, 2018 · 7:15 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 25, 2018 | M | 60,000 | $0.82 | A | 250,745 | D | |
| Common Stock | Jan 25, 2018 | X | 3,317 | $0.01 | A | 254,062 | 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 | $0.82 | Jan 25, 2018 | M | 60,000 | D | — | Nov 26, 2023 | Common Stock | 60,000 | 87,322 | D |
| Common Stock Warrant (right to buy) | $0.01 | Jan 25, 2018 | X | 3,317 | D | Sep 30, 2013 | Sep 30, 2023 | Common Stock | 3,317 | 0 | D |
Explanation of responses
- F1The shares subject to the Option became fully vested and exercisable as of July 1, 2017.