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Aura Biosciences, Inc. — Director's Dealing 2021
Oct 28, 2021
33080_dirs_2021-10-28_8361f660-42ec-4b40-83f1-9585051533dd.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Aura Biosciences, Inc. (AURA)
CIK: 0001501796
Period of Report: 2021-10-28
Reporting Person: de los Pinos Elisabet (Director, Chief Executive Officer)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 126860 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $5.48 | 2021-10-28 | Common Stock (3649) | Direct | |
| Stock Option (Right to Buy) | $5.75 | 2024-10-01 | Common Stock (5474) | Direct | |
| Stock Option (Right to Buy) | $5.07 | 2025-06-02 | Common Stock (10948) | Direct | |
| Stock Option (Right to Buy) | $5.48 | 2026-04-11 | Common Stock (14598) | Direct | |
| Stock Option (Right to Buy) | $5.21 | 2027-07-07 | Common Stock (14598) | Direct | |
| Stock Option (Right to Buy) | $2.74 | 2028-02-21 | Common Stock (364963) | Direct | |
| Stock Option (Right to Buy) | $3.15 | 2029-02-06 | Common Stock (63548) | Direct | |
| Stock Option (Right to Buy) | $4.25 | 2030-03-16 | Common Stock (194889) | Direct | |
| Stock Option (Right to Buy) | $5.48 | 2031-06-28 | Common Stock (620437) | Direct | |
| Series A-1 Preferred Stock | $ | Common Stock (3042) | Indirect | ||
| Series A-2 Preferred Stock | $ | Common Stock (1510) | Indirect |
Footnotes
F1: The shares are held by the Elisabet de los Pinos Revocable Trust U/D/T dated April 8, 2016, of which the Reporting Person is a trustee.
F2: This option is fully vested.
F3: The shares underlying this option vest in 48 monthly installments, equal to 2.0833% of the shares, over the 48 months following February 21, 2018.
F4: The shares underlying this option vest in 48 monthly installments, equal to 2.0833% of the shares, over the 48 months following February 6, 2019
F5: The shares underlying this option vest in 48 monthly installments, equal to 2.0833% of the shares, over the 48 months following February 6, 2020.
F6: The shares underlying this option vest in 48 monthly installments, equal to 2.0833% of the shares, over the 48 months following June 28, 2021.
F7: Immediately prior to the completion of the Issuer's initial public offering, each share of Series A-1 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.
F8: Upon the closing of the Issuer's initial public offering, all shares of Series A-1 Preferred Stock will convert into the number of shares of Common Stock of the Issuer shown in column 3.
F9: Immediately prior to the completion of the Issuer's initial public offering, each share of Series A-2 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.
F10: Upon the closing of the Issuer's initial public offering, all shares of Series A-2 Preferred Stock will convert into the number of shares of Common Stock of the Issuer shown in column 3.