0001209191-20-054245.txt : 20201007 0001209191-20-054245.hdr.sgml : 20201007 20201007205721 ACCESSION NUMBER: 0001209191-20-054245 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201005 FILED AS OF DATE: 20201007 DATE AS OF CHANGE: 20201007 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DOBMEIER ERIC CENTRAL INDEX KEY: 0001202785 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37345 FILM NUMBER: 201229955 MAIL ADDRESS: STREET 1: C/O SAETTLE GENETICS INC STREET 2: 21823 30TH DRIVE SE CITY: BOTHELL STATE: WA ZIP: 98021 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ADURO BIOTECH, INC. CENTRAL INDEX KEY: 0001435049 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 740 HEINZ AVENUE CITY: BERKELEY STATE: CA ZIP: 94710 BUSINESS PHONE: 510-848-4400 MAIL ADDRESS: STREET 1: 740 HEINZ AVENUE CITY: BERKELEY STATE: CA ZIP: 94710 FORMER COMPANY: FORMER CONFORMED NAME: ADURO BIOTECH DATE OF NAME CHANGE: 20080514 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-10-05 0 0001435049 ADURO BIOTECH, INC. KDNY 0001202785 DOBMEIER ERIC C/O CHINOOK THERAPEUTICS, INC. 1600 FAIRVIEW AVE. E. SEATTLE WA 98102 1 1 0 0 President, CEO Common Stock 2020-10-05 4 A 0 46337 A 46337 D Stock Option (right to buy) 0.35 2020-10-05 4 A 0 463358 A 2029-06-05 Common Stock 463358 463358 D Stock Option (right to buy) 0.42 2020-10-05 4 A 0 423555 A 2030-03-17 Common Stock 423555 423555 D Stock Option (right to buy) 14.77 2020-10-06 4 A 0 271647 0.00 A 2030-10-05 Common Stock 271647 271647 D Restricted Stock (RSU) (Common Stock) 2020-10-06 4 A 0 92389 0.00 A 2030-10-05 Common Stock 92389 92389 D Certain of the shares are subject to forfeiture to the Issuer if underlying vesting conditions are not met. The shares reported represent the number of shares of Issuer common stock received by the Reporting Person on the Effective Date in connection with the merger of Chinook Therapeutics U.S., Inc. ("Private Chinook") into the Issuer. The stock option vested as to 25% of the total shares on April 1, 2020, and thereafter vests as to 1/48 of the total shares monthly until fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Received in connection with the merger of Private Chinook into the Issuer (the "Merger") in exchange for a stock option to acquire 1,585,822 shares of Private Chinook common stock for $0.10 per share. The stock option vests as to 25% of the total shares on March 6, 2021, and thereafter vests as to 1/48 of the total shares monthly until fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Received in connection with the Merger in exchange for a stock option to acquire 1,449,600 shares of Private Chinook common stock for $0.12 per share. The stock option vests as to 25% of the total shares on October 6, 2021, and thereafter vests as to 1/36 of the total shares monthly until fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement. The RSUs vests as to one-third (1/3) of the total restricted stock units in equal annual installments beginning on October 6, 2021, until fully vested, subject to the reporting person's provision of service to the Issuer on each vesting date. /s/ Kirk Schumacher, Attorney-in-Fact 2020-10-07