SEC Form 4 · accession 0001567619-18-008013
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
Dec 12, 2018
Accepted (ET)
Dec 14, 2018 · 4:17 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 StockF2 | Dec 12, 2018 | S | 5,829 | $2.932 | D | 327,024 | D | |
| Common StockF3 | holding | — | — | — | 8,932 | I | By Family Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares were sold to cover the tax obligation that occurred upon the vesting of RSUs.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.72 to $3.02, 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 owned directly by the Isaacs-MacBride Family Trust UAD 03/09/01, for which the Reporting Person is a trustee.