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

Role
Director
Signature
/s/ Julie Feder
Issuer symbol
AURA
Transactions as of
28 Oct 2021
Net transactions value
$0
Form type
3
Filing time
28 Oct 2021, 20:22:25 UTC
Previous filing
04 Oct 2021
Next filing
02 Nov 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 28 Oct 2021 Common Stock 139,672 By Velosity Capital Management LLC F1, F2, F3
holding AURA Stock Option (Right to Buy) 28 Oct 2021 Common Stock 116,788 $4.38 Direct F4
holding AURA Stock Option (Right to Buy) 28 Oct 2021 Common Stock 204,379 $5.48 Direct F5
* 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.