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
  1. 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.
  2. 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.