SEC Filings

Form 10-K
ADURO BIOTECH, INC. filed this Form 10-K on 02/27/2019
Document Outline
Entire Document (10190.5 KB)
Subdocument 1 - 10-K - 10-K
Page 1 - UNITED STATES
Page 2 - Table of Contents
Page 3 - SPECIAL NOTE REGARDING FORWARD-LOOKING STATEMENTS
Page 4 - PART I
Page 5 - Our Pipeline
Page 6 - STING Pathway Product Candidates
Page 7 - ADU-S100
Page 8 - Phase 1 ADU-S100 in Combination with Spartalizumab (Ongoing)
Page 9 - Phase 1b/2 ADU-S100 in Combination with anti-PD-1 antibody in SCCHN (Planned)
Page 10 - APRIL Product Candidates
Page 11 - Multiple Myeloma Overview
Page 12 - STING Pathway Activator Product Candidates
Page 13 - cGAS-STING Pathway Inhibitor Program
Page 14 - Collaborations
Page 15 - Merck Agreement
Page 16 - UCB Vance Agreement
Page 17 - Government Regulation and Product Approval
Page 18 - N/A
Page 19 - U.S. Review and Approval Processes
Page 20 - Orphan Drug Designation
Page 21 - Expedited Development and Review Programs
Page 22 - Post-Approval Requirements
Page 23 - Other U.S. Healthcare Laws and Compliance Requirements
Page 24 - Coverage, Pricing and Reimbursement
Page 25 - Healthcare Reform
Page 26 - The Foreign Corrupt Practices Act
Page 27 - Europe and Rest of World Government Regulation
Page 28 - Item 1A. Risk Factors.
Page 29 - Our corporate strategy and reset may not be successful.
Page 30 - We may not be successful in our efforts to use and expand our technologies to build a pipeline of pr
Page 31 - Any delay, suspension, termination or request to repeat or redesign a trial could increase our costs
Page 32 - Our product candidates may cause undesirable side effects or may have other properties that could ha
Page 33 - The market opportunities for our product candidates may be limited to those patients who are ineligi
Page 34 - We currently have no marketing and sales organization and have no experience in marketing products.
Page 35 - We face significant competition from other biotechnology and pharmaceutical companies, and our busin
Page 36 - We will need to grow the size of our organization in the future, and we may experience difficulties
Page 37 - Even if we obtain regulatory approval of our product candidates, the products may not gain market ac
Page 38 - Risks Related to Our Reliance on Third Parties
Page 39 - We rely and will rely on third parties to conduct our clinical trials. If these third parties do not
Page 40 - We may not realize the benefits of acquisitions or strategic transactions, including our acquisition
Page 41 - Risks Related to Government Regulation
Page 42 - Even if we receive regulatory approval of our product candidates, we will be subject to ongoing regu
Page 43 - Changes in funding for the FDA and other government agencies could hinder their ability to hire and
Page 44 - Our product candidates may be subject to government price controls that may affect our revenue.
Page 45 - N/A
Page 46 - Our current and future relationships with customers and third-party payors in the United States and
Page 47 - If we or our third-party manufacturers use hazardous and biological materials in a manner that cause
Page 48 - Risks Related to Our Intellectual Property
Page 49 - If we breach any of our license agreements, it could have a material adverse effect on our commercia
Page 50 - Some jurisdictions may require us to grant licenses to third parties. Such compulsory licenses could
Page 51 - Changes in patent law could increase the uncertainties and costs surrounding the prosecution of our
Page 52 - We may become involved in lawsuits to protect or enforce our intellectual property, which could be e
Page 53 - If we are unable to protect the confidentiality of our proprietary information and know-how, the val
Page 54 - The recently passed comprehensive tax reform bill could materially and adversely affect our business
Page 55 - Risks Related to Ownership of Our Common Stock
Page 56 - Once we are no longer an emerging growth company we will be subject to additional laws and regulatio
Page 57 - Anti-takeover provisions under our charter documents and Delaware law could delay or prevent a chang
Page 58 - Revenue from Contracts with Customers
Page 59 - PART II
Page 60 - Recent Sales of Unregistered Securities
Page 61 - N/A
Page 62 - Item 7. Management s Discussion and Analysis of Financial Condition and Results of Operations.
Page 63 - Components of Operating Results
Page 64 - General and Administrative Expenses
Page 65 - Revenue
Page 66 - Loss on impairment of intangible assets
Page 67 - Revenue
Page 68 - General and Administrative Expenses
Page 69 - Cash Flows
Page 70 - Financing Activities
Page 71 - Goodwill and Intangible Assets
Page 72 - Fair Value of Common Stock.
Page 73 - Off-Balance Sheet Arrangements
Page 74 - Recent Accounting Pronouncements
Page 75 - Recently Adopted Accounting Pronouncements
Page 76 - Item 7A. Quantitative and Qualitative Disclosures About Market Risk.
Page 77 - Item 8. Financial Statements and Supplementary Data.
Page 78 - REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
Page 79 - ADURO BIOTECH, INC.
Page 80 - ADURO BIOTECH, INC.
Page 81 - ADURO BIOTECH, INC.
Page 82 - ADURO BIOTECH, INC.
Page 83 - ADURO BIOTECH, INC.
Page 84 - ADURO BIOTECH, INC.
Page 85 - Cash and Cash Equivalents
Page 86 - Goodwill and Intangible Assets
Page 87 - Income Taxes
Page 88 - Disclosure Update and Simplification
Page 89 - N/A
Page 90 - 3. Fair Value Measurements
Page 91 - N/A
Page 92 - 4. Balance Sheet Components
Page 93 - Accrued Expenses and Other Liabilities
Page 94 - 6. Collaboration Agreements
Page 95 - Lilly Agreement
Page 96 - Merck License Agreement
Page 97 - UCB Vance Agreement
Page 98 - 8. Commitments and Contingencies
Page 99 - Other Commitments
Page 100 - 10. Warrants
Page 101 - Restricted Stock Units (RSUs)
Page 102 - 2015 Employee Stock Purchase Plan
Page 103 - Expected Volatility
Page 104 - N/A
Page 105 - Uncertain Tax Positions
Page 106 - 13. Employee Benefit Plan
Page 107 - Item 9. Changes in and Disagreements With Accountants on Accounting and Financial Disclosure.
Page 108 - PART III
Page 109 - PART IV
Page 110 - N/A
Page 111 - N/A
Page 112 - N/A
Page 113 - N/A
Page 114 - SIGNATURES
Page 115 - POWER OF ATTORNEY
Subdocument 2 - EX-5.1 - EX-5.1
Page 1 - Exhibit 5.1
Page 2 - N/A
Subdocument 3 - EX-10.41 - EX-10.41
Page 1 - Exhibit 10.41
Page 2 - Table of Contents
Page 3 - Table of Contents
Page 4 - Table of Contents
Page 5 - Table of Contents
Page 6 - RESEARCH COLLABORATION AND
Page 7 - Aduro Know-How
Page 8 - Bankruptcy Code
Page 9 - Claim
Page 10 - Competing Acquirer
Page 11 - Content
Page 12 - Drug Approval Application
Page 13 - First Commercial SaleFirst Commercially Sold
Page 14 - FTE Rate[***][***]
Page 15 - Governmental Authority
Page 16 - Know-How
Page 17 - Manufacture
Page 18 - Combination Product
Page 19 - OECD
Page 20 - Phase II Clinical Trial
Page 21 - Regulatory Authority
Page 22 - Serious Adverse Event
Page 23 - U.S. GAAP
Page 24 - Grant of Rights to Aduro[***][***]
Page 25 - Know-How Sharing; Cooperation
Page 26 - Establishment and Disbandment of Joint Research CommitteeJRC
Page 27 - Meetings; Minutes
Page 28 - Reports to JRC
Page 29 - Alliance ManagersAlliance Manager
Page 30 - Costs of Research Activities
Page 31 - Collaboration Compound Identification
Page 32 - [***][***]Deliberation Period[***][***]
Page 33 - Prohibited Conduct
Page 34 - Subcontractors and Agents
Page 35 - Co-Funding Option[***][***][***]Exercise Period[***][***]
Page 36 - 7.COMMERCIALIZATION OF PRODUCTS
Page 37 - Payment of Royalties; Royalty Rates; Accounting and Records
Page 38 - Adjustments to Royalty Payments
Page 39 - Records; Audit Rights
Page 40 - 9.TREATMENT OF CONFIDENTIAL INFORMATION; PUBLICITY
Page 41 - Requirement to Cooperate to Enable Accurate Public Disclosure
Page 42 - Employees and Consultants
Page 43 - Permitted Publication
Page 44 - 10.INTELLECTUAL PROPERTY RIGHTS
Page 45 - Jointly-Owned Collaboration IP
Page 46 - Enforcement and Defense
Page 47 - Infringement Response[***] [***]
Page 48 - Patent Term Extension[***]
Page 49 - Termination for Insolvency
Page 50 - N/A
Page 51 - [***][***][***]Lilly Compound
Page 52 - 13.REPRESENTATIONS AND WARRANTIES
Page 53 - Additional Representations and Warranties of Aduro
Page 54 - Disclosure
Page 55 - Indemnification of Lilly by AduroLilly IndemniteesLilly Indemnity Claims
Page 56 - Limited Liability
Page 57 - Equitable Relief
Page 58 - Binding Effect
Page 59 - Assignment and Successors; Change of Control
Page 60 - Limitation on Information
Page 61 - Integration; Severability
Page 62 - Expenses
Page 63 - SIGNATURE PAGE FOLLOWS
Page 64 - N/A
Page 65 - SCHEDULE 1.22
Page 66 - SCHEDULE 1.54
Page 67 - N/A
Page 68 - SCHEDULE 1.73
Page 69 - SCHEDULE 1.93
Page 70 - MOA:
Page 71 - SCHEDULE 1.124
Page 72 - Lilly Potential Collaboration Compounds:
Page 73 - SCHEDULE 1.141
Page 74 - SCHEDULE 9.4
Page 75 - SCHEDULE 12.3
Subdocument 4 - EX-10.42 - EX-10.42
Page 1 - Exhibit 10.42
Page 2 - Business Day
Page 3 - provided, however
Page 4 - COWEN AND COMPANY, LLC
Subdocument 5 - EX-21.1 - EX-21.1
Page 1 - N/A
Subdocument 6 - EX-23.1 - EX-23.1
Page 1 - N/A
Subdocument 7 - EX-31.1 - EX-31.1
Page 1 - N/A
Subdocument 8 - EX-31.2 - EX-31.2
Page 1 - N/A
Subdocument 9 - EX-32.1 - EX-32.1
Page 1 - N/A
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