0001209191-20-054246.txt : 20201007 0001209191-20-054246.hdr.sgml : 20201007 20201007205907 ACCESSION NUMBER: 0001209191-20-054246 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: Frohlich Tom CENTRAL INDEX KEY: 0001823925 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37345 FILM NUMBER: 201229963 MAIL ADDRESS: STREET 1: C/O CHINOOK THERAPEUTICS U.S., INC. STREET 2: 1600 FAIRVIEW AVE. E. CITY: SEATTLE STATE: WA ZIP: 98102 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 0001823925 Frohlich Tom C/O CHINOOK THERAPEUTICS, INC. 1600 FAIRVIEW AVE. E. SEATTLE WA 98102 0 1 0 0 Chief Business Officer Common Stock 2020-10-05 4 A 0 153398 A 153398 D Stock Option (right to buy) 0.42 2020-10-05 4 A 0 98847 A 2030-03-17 Common Stock 98847 98847 D Stock Option (right to buy) 14.77 2020-10-06 4 A 0 119793 0.00 A 2030-10-05 Common Stock 119793 119793 D Restricted Stock Units (RSU) (Common Stock) 2020-10-06 4 A 0 40743 0.00 A 2030-10-05 Common Stock 40743 40743 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 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 of Private Chinook into the Issuer in exchange for a stock option to acquire 338,300 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 restricted stock unit represents a contingent right to receive one share of Issuer's common stock. 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