Filing Details
- Accession Number:
- 0001209191-15-035583
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-04-22 17:46:45
- Reporting Period:
- 2015-04-20
- Filing Date:
- 2015-04-22
- Accepted Time:
- 2015-04-22 17:46:45
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1435049 | Aduro Biotech Inc. | ADRO | Pharmaceutical Preparations (2834) | 000000000 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1636810 | Ltd Investments (Vi) Venture Morningside | C/O Thc Management Services S.a.m. 2Nd Floor, Le Prince De Galles 3-5 Avenue Des Citronniers O9 MC 98000 | No | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2015-04-20 | 7,564,631 | $0.00 | 7,564,631 | No | 4 | C | Direct | |
Common Stock | Acquisiton | 2015-04-20 | 9,039,857 | $0.00 | 16,604,488 | No | 4 | C | Direct | |
Common Stock | Acquisiton | 2015-04-20 | 1,997,854 | $0.00 | 18,602,342 | No | 4 | C | Direct | |
Common Stock | Acquisiton | 2015-04-20 | 441,176 | $17.00 | 19,043,518 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Direct | |
No | 4 | C | Direct | |
No | 4 | C | Direct | |
No | 4 | P | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series B Preferred Stock | Disposition | 2015-04-20 | 7,564,631 | $0.00 | 7,564,631 | $0.00 |
Common Stock | Series C Preferred Stock | Disposition | 2015-04-20 | 9,039,857 | $0.00 | 9,039,857 | $0.00 |
Common Stock | Series D Preferred Stock | Disposition | 2015-04-20 | 1,997,854 | $0.00 | 1,997,854 | $0.00 |
Series B Preferred Stock | Series B Preferred Stock Warrant (right to buy) | Disposition | 2015-04-20 | 61,410 | $0.00 | 44,215 | $1.19 |
Common Stock | Common Stock Warrant (right to buy) | Acquisiton | 2015-04-20 | 44,215 | $0.00 | 44,215 | $1.66 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | C | Direct | ||
0 | No | 4 | C | Direct | ||
0 | No | 4 | C | Direct | ||
0 | 2011-04-15 | 2016-04-15 | No | 4 | D | Direct |
44,215 | 2011-04-15 | 2016-04-15 | No | 4 | A | Direct |
Footnotes
- Each share of Series B Preferred Stock, Series C Preferred Stock, and Series D Preferred Stock automatically converted into 0.72 of a share of common stock immediately prior to the closing of the Issuer's initial public offering, and has no expiration date.
- Pursuant to the terms of the Series B Preferred Stock Warrant (the "Old Warrant"), effective upon conversion of all outstanding shares of Series B Preferred Stock of the Issuer, the Old Warrant converts into a Warrant to purchase shares of Common Stock of the Issuer (the "New Warrant"). The two transactions reported in Table II above show the cancellation of the Old Warrant and acquisition of the New Warrant in connection with the automatic conversion of the Series B Preferred Stock into 0.72 of a share of common stock immediately prior to the closing of the Issuer's initial public offering.