| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 04/14/2015 | 3. Issuer Name and Ticker or Trading Symbol ADURO BIOTECH, INC. [ ADRO ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 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) |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 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: 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) | (1) | 10/23/2021 | Common Stock | 219,611 | 0.52 | D | |
| Stock Option (Right to Buy) | (2) | 10/23/2021 | Common Stock | 118,252 | 0.52 | D | |
| Stock Option (Right to Buy) | (3) | 03/18/2020 | Common Stock | 3,649 | 0.45 | D | |
| Stock Option (Right to Buy) | (3) | 11/26/2023 | Common Stock | 13,474 | 0.82 | D | |
| Stock Option (Right to Buy) | (4) | 07/30/2024 | Common Stock | 176,328 | 1 | D | |
| Stock Option (Right to Buy) | (5) | 01/09/2025 | Common Stock | 332,711 | 1.45 | D | |
| Stock Option (Right to Buy) | (6) | 03/09/2025 | Common Stock | 151,919 | 7.45 | D | |
| Explanation of Responses: |
| 1. Twenty-five percent of the shares subject to the Option vests on the first anniversary of the vesting commencement date, and the remainder vests in 36 equal monthly installments thereafter for the following three years. |
| 2. 9,854 shares subject to the Option vested on December 31, 2011, 29,562 shares subject to the Option vested on each December 31, 2012, December 31, 2013 and December 31, 2014 and the remaining 19,712 shares subject to the Option will vest on December 31, 2015. |
| 3. The shares subject to the Option are fully vested and immediately exercisable. |
| 4. The shares subject to the Option vest in 48 equal monthly installments from the vesting commencement date of July 31, 2014. |
| 5. The shares subject to the Option vest in 48 equal monthly installments from the vesting commencement date of January 10, 2015. |
| 6. The shares subject to the Option vest in 48 equal monthly installments from the vesting commencement date of March 6, 2015. |
| Remarks: |
| /s/ Jennifer Lew, Attorney-in-Fact | 04/14/2015 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * 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). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||
