David M. Johnson - Oct 28, 2021 Form 3 Insider Report for Aura Biosciences, Inc. (AURA)

Role: Director
Signature: /s/ Julie Feder
Stock symbol: AURA
Transactions as of: Oct 28, 2021
Transactions value $: $0
Form type: 3
Date filed: 10/28/2021, 08:22 PM
Previous filing: Oct 4, 2021
Next filing: Nov 2, 2021
SEC: View on sec.gov

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
holding	AURA	Series E Convertible Preferred Stock							Oct 28, 2021	Common Stock	140K		By Velosity Capital Management LLC	F1, F2, F3
holding	AURA	Stock Option (Right to Buy)							Oct 28, 2021	Common Stock	117K	$4.38	Direct	F4
holding	AURA	Stock Option (Right to Buy)							Oct 28, 2021	Common Stock	204K	$5.48	Direct	F5

Showing 1 to 3 of 3 entries

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Immediately prior to the completion of the Issuer's initial public offering, each share of Series E Convertible Preferred Stock is convertible into shares of the Issuer's Common Stock, on a 13.7-for one basis and has no expiration date.
F2	Upon the closing of the Issuer's initial public offering, all shares of Series E Preferred Stock will convert into the number of shares of Common Stock of the Issuer shown in column 3.
F3	Velosity Capital Management LLC is an entity that the reporting person is the sole member of.
F4	The shares underlying this option vest in 48 monthly installments, equal to 2.0833% of the shares, over the 48 months following December 8, 2020.
F5	The shares underlying this option vest in 48 monthly installments, equal to 2.0833% of the shares, over the 48 months following March 18, 2021.