SEC Form 3 · accession 0001567619-19-002649

ADURO BIOTECH, INC. · ADRO

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Celeste Ferber

Officer — SVP, GC and Secretary

Period of report

Jan 28, 2019

Accepted (ET)

Feb 7, 2019 · 5:03 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001435049

Table I — non-derivative securities

Security	Date	Code	Shares	A/D	Owned after	D/I
Common Stock	holding	—	—	—	2,591	D
Common Stock^F1	holding	—	—	—	1,650	D
Common Stock^F2	holding	—	—	—	6,563	D
Common Stock^F3	holding	—	—	—	3,282	D
Common Stock^F4	holding	—	—	—	15,350	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)^F5	$13.89	holding	—	—	—	—	Mar 10, 2026	Common Stock	40,000	—	D
Stock Option (Right to Buy)^F6	$11.15	holding	—	—	—	—	Dec 11, 2026	Common Stock	2,400	—	D
Stock Option (Right to Buy)^F7	$10.75	holding	—	—	—	—	Jun 11, 2027	Common Stock	8,750	—	D
Stock Option (Right to Buy)^F8	$6.10	holding	—	—	—	—	Feb 8, 2028	Common Stock	30,650	—	D

Explanation of responses

F1Represents grant of restricted stock units payable in common stock that vest in four equal annual installments from the vesting commencement date of September 12, 2016.
F2Represents grant of restricted stock units payable in common stock that vest in four equal annual installments from the vesting commencement date of September 12, 2017.
F3Represents grant of restricted stock units payable in common stock that vest in four equal annual installments from the vesting commencement date of December 11, 2017.
F4Represents grant of restricted stock units payable in common stock that vest in four equal annual installments from the vesting commencement date of September 12, 2018.
F5The shares subject to the Option vest over a four-year period as follows: 25% of the shares vest on the one year anniversary of the vesting commencement date of February 8, 2016 and thereafter the remaining shares vest in a series of equal monthly installments at a rate of one thirty-sixth (1/36th) per month.
F6The shares subject to the Option vest in a series of equal monthly installments at a rate of one forty-eighth (1/48th) per month upon the Reporting Person's completion of each month of service measured from December 12, 2016.
F7The shares subject to the Option vest in a series of equal monthly installments at a rate of one forty-eighth (1/48th) per month upon the Reporting Person's completion of each month of service measured from June 12, 2017.
F8The shares subject to the Option vest in a series of equal monthly installments at a rate of one forty-eighth (1/48th) per month upon the Reporting Person's completion of each month of service measured from February 9, 2018.