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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Haghighat Ross C/O ADURO BIOTECH, INC. 740 HEINZ AVENUE BERKELEY, CA 94710 |
X |
/s/ Jennifer Lew, Attorney-in-Fact | 11/16/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | The sales reported in this Form 4 were affected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on October 10, 2016. |
(2) | Includes 74,206 shares received by the Reporting Person as a distribution by Triton Holdings LLC. |
(3) | As of August 31, 2015, the Reporting Person no longer has voting or dispositive control over the securities held by Triton Systems, Inc. |
Remarks: This Form 4 does not include indirect ownership of the shares held by Turnpike Properties, LLC and Triton Holdings, LLC attributed to the Reporting Person, that were erroneously reported on the Form 4 filed on April 22, 2015 with the SEC (the "Prior Form 4"). Subsequent to filing of the Prior Form 4, the Issuer was notified that the Reporting Person did not have the right to exercise voting and dispositive control over the shares held by these entities at the time the Prior Form 4 was filed. |