Filing Details
- Accession Number:
- 0001209191-15-035589
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-04-22 17:50:54
- Reporting Period:
- 2015-04-20
- Filing Date:
- 2015-04-22
- Accepted Time:
- 2015-04-22 17:50:54
- 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 |
|---|---|---|---|---|---|---|---|
| 1635127 | A. Lois And E. John Rogers | C/O Aduro Biotech, Inc. 626 Bancroft Way, 3C Berkeley CA 94710 | 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 | 18,949 | $0.00 | 18,949 | No | 4 | C | Indirect | By Lisa M. Rogers |
| Common Stock | Acquisiton | 2015-04-20 | 7,200 | $0.00 | 26,149 | No | 4 | C | Indirect | By Lisa M. Rogers |
| Common Stock | Acquisiton | 2015-04-20 | 18,949 | $0.00 | 18,949 | No | 4 | C | Indirect | By Michael J. Rogers |
| Common Stock | Acquisiton | 2015-04-20 | 7,200 | $0.00 | 26,149 | No | 4 | C | Indirect | By Michael J. Rogers |
| Common Stock | Acquisiton | 2015-04-20 | 18,949 | $0.00 | 18,949 | No | 4 | C | Indirect | By Molly Rogers |
| Common Stock | Acquisiton | 2015-04-20 | 7,200 | $0.00 | 26,149 | No | 4 | C | Indirect | By Molly Rogers |
| Common Stock | Acquisiton | 2015-04-20 | 10,000 | $17.00 | 36,149 | No | 4 | P | Indirect | By Molly Rogers |
| Common Stock | Acquisiton | 2015-04-20 | 18,949 | $0.00 | 18,949 | No | 4 | C | Indirect | By Peter Rogers |
| Common Stock | Acquisiton | 2015-04-20 | 7,200 | $0.00 | 26,149 | No | 4 | C | Indirect | By Peter Rogers |
| Common Stock | Acquisiton | 2015-04-20 | 7,500 | $17.00 | 33,649 | No | 4 | P | Indirect | By Peter Rogers |
| Common Stock | Acquisiton | 2015-04-20 | 18,949 | $0.00 | 18,949 | No | 4 | C | Indirect | By Sara Rogers |
| Common Stock | Acquisiton | 2015-04-20 | 7,200 | $0.00 | 26,149 | No | 4 | C | Indirect | By Sara Rogers |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | By Lisa M. Rogers |
| No | 4 | C | Indirect | By Lisa M. Rogers |
| No | 4 | C | Indirect | By Michael J. Rogers |
| No | 4 | C | Indirect | By Michael J. Rogers |
| No | 4 | C | Indirect | By Molly Rogers |
| No | 4 | C | Indirect | By Molly Rogers |
| No | 4 | P | Indirect | By Molly Rogers |
| No | 4 | C | Indirect | By Peter Rogers |
| No | 4 | C | Indirect | By Peter Rogers |
| No | 4 | P | Indirect | By Peter Rogers |
| No | 4 | C | Indirect | By Sara Rogers |
| No | 4 | C | Indirect | By Sara Rogers |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series C Preferred Stock | Disposition | 2015-04-20 | 18,949 | $0.00 | 18,949 | $0.00 |
| Common Stock | Series D Preferred Stock | Disposition | 2015-04-20 | 7,200 | $0.00 | 7,200 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2015-04-20 | 18,949 | $0.00 | 18,949 | $0.00 |
| Common Stock | Series D Preferred Stock | Disposition | 2015-04-20 | 7,200 | $0.00 | 7,200 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2015-04-20 | 18,949 | $0.00 | 18,949 | $0.00 |
| Common Stock | Series D Preferred Stock | Disposition | 2015-04-20 | 7,200 | $0.00 | 7,200 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2015-04-20 | 18,949 | $0.00 | 18,949 | $0.00 |
| Common Stock | Series D Preferred Stock | Disposition | 2015-04-20 | 7,200 | $0.00 | 7,200 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2015-04-20 | 18,949 | $0.00 | 18,949 | $0.00 |
| Common Stock | Series D Preferred Stock | Disposition | 2015-04-20 | 7,200 | $0.00 | 7,200 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect |
Footnotes
- Each share of 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.
- The securities are held by Lisa M. Rogers, over which John E. Rogers exercises voting control.
- The securities are held by Michael J. Rogers, over which John E. Rogers exercises voting control.
- The securities are held by Molly Rogers, over which John E. Rogers exercises voting control.
- The securities are held by Peter Rogers, over which John E. Rogers exercises voting control.
- The securities are held by Sara Rogers, over which John E. Rogers exercises voting control.
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