Pinos Elisabet de los - Oct 28, 2021 Form 3 Insider Report for Aura Biosciences, Inc. (AURA)

Role
Chief Executive Officer, 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, 08:30 PM
Next filing
Nov 2, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding AURA Common Stock 127K Oct 28, 2021 By: EdIP Revocable Trust F1

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 Stock Option (Right to Buy) Oct 28, 2021 Common Stock 3.65K $5.48 Direct F2
holding AURA Stock Option (Right to Buy) Oct 28, 2021 Common Stock 5.47K $5.75 Direct F2
holding AURA Stock Option (Right to Buy) Oct 28, 2021 Common Stock 10.9K $5.07 Direct F2
holding AURA Stock Option (Right to Buy) Oct 28, 2021 Common Stock 14.6K $5.48 Direct F2
holding AURA Stock Option (Right to Buy) Oct 28, 2021 Common Stock 14.6K $5.21 Direct F2
holding AURA Stock Option (Right to Buy) Oct 28, 2021 Common Stock 365K $2.74 Direct F3
holding AURA Stock Option (Right to Buy) Oct 28, 2021 Common Stock 63.5K $3.15 Direct F4
holding AURA Stock Option (Right to Buy) Oct 28, 2021 Common Stock 195K $4.25 Direct F5
holding AURA Stock Option (Right to Buy) Oct 28, 2021 Common Stock 620K $5.48 Direct F6
holding AURA Series A-1 Preferred Stock Oct 28, 2021 Common Stock 3.04K By: EdIP Revocable Trust F1, F7, F8
holding AURA Series A-2 Preferred Stock Oct 28, 2021 Common Stock 1.51K By: EdIP Revocable Trust F1, F9, F10
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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.