Filing Details
- Accession Number:
- 0001209191-15-081145
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-11-18 20:24:04
- Reporting Period:
- 2015-11-16
- Filing Date:
- 2015-11-18
- Accepted Time:
- 2015-11-18 20:24:04
- 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 |
|---|---|---|---|---|---|---|---|
| 1635616 | G. Dirk Brockstedt | C/O Aduro Biotech, Inc. 626 Bancroft Way, 3C Berkeley CA 94710 | Sr. Vp Of Research And Dev. | No | Yes | No | 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 | 2015-11-16 | 5,953 | $0.45 | 7,423 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-11-16 | 5,953 | $27.50 | 1,470 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-11-16 | 1,470 | $27.61 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2015-11-17 | 9,215 | $0.45 | 9,215 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-11-17 | 2,417 | $0.45 | 11,632 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-11-17 | 2,766 | $0.45 | 14,398 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-11-17 | 4,649 | $1.45 | 19,047 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-11-17 | 2,100 | $27.78 | 16,947 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-11-17 | 16,947 | $28.76 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2015-11-16 | 5,953 | $0.00 | 5,953 | $0.45 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2015-11-17 | 9,215 | $0.00 | 9,215 | $0.45 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2015-11-17 | 2,417 | $0.00 | 2,417 | $0.45 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2015-11-17 | 2,766 | $0.00 | 2,766 | $0.45 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2015-11-17 | 4,649 | $0.00 | 4,649 | $1.45 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 81,454 | 2020-03-18 | No | 4 | M | Direct | |
| 72,239 | 2020-03-18 | No | 4 | M | Direct | |
| 18,133 | 2020-03-18 | No | 4 | M | Direct | |
| 8,299 | 2020-03-18 | No | 4 | M | Direct | |
| 328,062 | 2025-01-09 | No | 4 | M | Direct |
Footnotes
- Includes 1,470 shares acquired by Reporting Person under the Issuer's Employee Stock Purchase Plan on November 13, 2015.
- The sales reported in this Form 4 were affected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 13, 2015.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.14 to $28.05, 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.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.59 to $27.66, 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.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.36 to $28.34, 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.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.35 to $29.00, 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.
- The shares subject to the Option are fully vested and immediately exercisable.
- The shares subject to the Option vest in 48 equal monthly installments from the vesting commencement date of January 10, 2015.
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