David Michael Johnson - 02 Nov 2021 Form 4 Insider Report for Aura Biosciences, Inc. (AURA)

Role
Director
Signature
/s/ Julie Feder, as Attorney-in-Fact
Issuer symbol
AURA
Transactions as of
02 Nov 2021
Net transactions value
$0
Form type
4
Filing time
02 Nov 2021, 16:11:32 UTC
Previous filing
28 Oct 2021
Next filing
10 Jun 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AURA Common Stock Conversion of derivative security $0 +139,672 $0.000000 139,672 02 Nov 2021 By Velocity Capital Management F1, F2

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
transaction AURA Series E Convertible Preferred Stock Conversion of derivative security -139,672 -100% 0 02 Nov 2021 Common Stock 139,672 By Velocity Capital Management LLC F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The Series E Preferred Stock converted into the number of shares of Common Stock of the Issuer upon the closing of the Issuer's Initial Public Offering. These amounts reflect a 1-for-13.700 reverse split which became effective on October 22, 2021.
F2 Velosity Capital Management LLC is an entity that the reporting person is the sole member of.