1. Name and Address of Reporting Person * |
Â
Ferber Celeste |
|
2. Date of Event Requiring Statement (Month/Day/Year) 01/28/2019 |
3. Issuer Name and Ticker or Trading Symbol ADURO BIOTECH, INC. [ADRO]
|
C/O ADURO BIOTECH, INC., 740 HEINZ AVENUE |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director |
_____ 10% Owner |
__X__ Officer (give title below) |
_____ Other (specify below) |
SVP, GC and Secretary |
|
5. If Amendment, Date Original Filed(Month/Day/Year)
|
BERKELEY, CA 94710 |
6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
|
Table I - Non-Derivative Securities Beneficially Owned |
|
1.Title of Security (Instr. 4) |
2. Amount of Securities Beneficially Owned (Instr. 4) |
3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) |
4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock
|
2,591
|
D
|
Â
|
Common Stock
|
1,650
(1)
|
D
|
Â
|
Common Stock
|
6,563
(2)
|
D
|
Â
|
Common Stock
|
3,282
(3)
|
D
|
Â
|
Common Stock
|
15,350
(4)
|
D
|
Â
|
|
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Stock Option (Right to Buy)
|
Â
(5)
|
03/10/2026 |
Common Stock
|
40,000
|
$
13.89
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(6)
|
12/11/2026 |
Common Stock
|
2,400
|
$
11.15
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(7)
|
06/11/2027 |
Common Stock
|
8,750
|
$
10.75
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(8)
|
02/08/2028 |
Common Stock
|
30,650
|
$
6.1
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) |
Represents grant of restricted stock units payable in common stock that vest in four equal annual installments from the vesting commencement date of September 12, 2016. |
(2) |
Represents grant of restricted stock units payable in common stock that vest in four equal annual installments from the vesting commencement date of September 12, 2017. |
(3) |
Represents grant of restricted stock units payable in common stock that vest in four equal annual installments from the vesting commencement date of December 11, 2017. |
(4) |
Represents grant of restricted stock units payable in common stock that vest in four equal annual installments from the vesting commencement date of September 12, 2018. |
(5) |
The shares subject to the Option vest over a four-year period as follows: 25% of the shares vest on the one year anniversary of the vesting commencement date of February 8, 2016 and thereafter the remaining shares vest in a series of equal monthly installments at a rate of one thirty-sixth (1/36th) per month. |
(6) |
The shares subject to the Option vest in a series of equal monthly installments at a rate of one forty-eighth (1/48th) per month upon the Reporting Person's completion of each month of service measured from December 12, 2016. |
(7) |
The shares subject to the Option vest in a series of equal monthly installments at a rate of one forty-eighth (1/48th) per month upon the Reporting Person's completion of each month of service measured from June 12, 2017. |
(8) |
The shares subject to the Option vest in a series of equal monthly installments at a rate of one forty-eighth (1/48th) per month upon the Reporting Person's completion of each month of service measured from February 9, 2018. |