Filing Details
- Accession Number:
- 0001209191-17-059857
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-11-08 19:56:23
- Reporting Period:
- 2017-11-06
- Accepted Time:
- 2017-11-08 19:56:23
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1435049 | Aduro Biotech Inc. | ADRO | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1193201 | T Stephen Isaacs | C/O Aduro Biotech, Inc. 740 Heinz Avenue Berkeley CA 94710 | President And Ceo | Yes | 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 | 2017-11-06 | 16,400 | $0.45 | 190,321 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-11-06 | 16,400 | $7.98 | 173,921 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-11-07 | 3,800 | $0.45 | 177,721 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-11-07 | 3,800 | $7.95 | 173,921 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | 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 | 2017-11-06 | 16,400 | $0.00 | 16,400 | $0.45 |
| Common Stock | Stock Option (right to buy) | Disposition | 2017-11-07 | 3,800 | $0.00 | 3,800 | $0.45 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 112,859 | 2020-03-18 | No | 4 | M | Direct | |
| 109,059 | 2020-03-18 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 70,657 | Indirect | By Family Trust |
Footnotes
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 16, 2017.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.95 to $8.125, 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 $7.95 to $7.975, 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 are owned directly by the Isaacs-MacBride Family Trust UAD 03/09/01, for which the Reporting Person is a trustee.
- The shares subject to the Option are fully vested and immediately exercisable.
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