0001170316-19-000003.txt : 20190107 0001170316-19-000003.hdr.sgml : 20190107 20190107080205 ACCESSION NUMBER: 0001170316-19-000003 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20190107 DATE AS OF CHANGE: 20190107 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-88812 FILM NUMBER: 19512222 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SINGER JAMES R CENTRAL INDEX KEY: 0001170316 FILING VALUES: FORM TYPE: SC 13G/A MAIL ADDRESS: STREET 1: PO BOX 1395 CITY: YARMOUTH STATE: ME ZIP: 04096 SC 13G/A 1 891349_1.txt SCHEDULE 13/A AMENDMENT NO. 2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* ADURO BIOTECH INC (Name of Issuer) COMMON STOCK (Title of Class of Securities) 00739L101 (CUSIP Number) DECEMBER 31, 2018 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [X] Rule 13d-1(c) [ ] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 00739L101 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): James R. Singer 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) (a) [ ] (b) [ ] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America NUMBER OF 5 SOLE VOTING POWER 4,258,000* SHARES BENEFICIALLY 6 SHARED VOTING POWER None OWNED BY EACH REPORTING 7 SOLE DISPOSITIVE POWER 4,258,000* PERSON WITH: 8 SHARED DISPOSITIVE POWER None 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,258,000* 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions) [ ] 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.4% 12 TYPE OF REPORTING PERSON (see instructions) IN Item 1(a). Name of Issuer: ADURO BIOTECH INC Item 1(b). Address of Issuer's Principal Executive Offices: 626 BANCROFT WAY, BERKELEY, CA 94710 Item 2(a). Name of Person Filing: James R. Singer Item 2(b). Address of Principal Business Office or, if none, Residence: PO Box 1395, Yarmouth, ME 04096 Item 2(c). Citizenship: United States of America Item 2(d). Title of Class of Securities: Common Stock Item 2(e). CUSIP Number: 00739L101 Item 3. If this Statement is filed pursuant to 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: (a) [ ] Broker or dealer registered under Section 15 of the Act; (b) [ ] Bank as defined in Section 3(a)(6) of the Act; (c) [ ] Insurance company as defined in Section 3(a)(19) of the Act; (d) [ ] Investment company registered under Section 8 of the Investment Company Act of 1940; (e) [ ] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940; (j) [ ] A non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J); (k) [ ] Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J), please specify the type of institution: Item 4. Ownership. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount Beneficially Owned: James R. Singer 2016 Revocable Trust (the "Trust") beneficially owns 4,160,000 common shares of the Issuer. James R. Singer Roth IRA (the "Singer Roth IRA") beneficially owns 98,000 common shares of the Issuer. James R. Singer has sole voting and dispositive control over the shares held by the Trust and the Singer Roth IRA. Accordingly, James R. Singer may be deemed to be the beneficial owner of 4,258,000 common shares of the Issuer. (b) Percent of Class: James R. Singer may be deemed to be the beneficial owner of 4,258,000 common shares of the Issuer, or 5.4% of the outstanding shares. (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 4,258,000 (ii) shared power to vote or to direct the vote: 0 (iii) sole power to dispose or to direct the disposition of: 4,258,000 (iv) shared power to dispose or to direct the disposition of: 0 Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. Item 6. Ownership of More than Five Percent on Behalf of Another Person. Not applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. Not applicable. Item 8. Identification and Classification of Members of the Group. Not applicable. Item 9. Notice of Dissolution of Group. Not applicable. Item 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of and do not have the effect of changing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having such purpose or effect for the time being. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. January 4, 2019 Date /S/James R. Singer Signature JAMES R. SINGER Name/Title