David M. Johnson - Nov 2, 2021 Form 4 Insider Report for Aura Biosciences, Inc. (AURA)

Role
Director
Signature
/s/ Julie Feder, as Attorney-in-Fact
Stock symbol
AURA
Transactions as of
Nov 2, 2021
Transactions value $
$0
Form type
4
Date filed
11/2/2021, 04:11 PM
Previous filing
Oct 28, 2021
Next filing
Jun 10, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AURA Common Stock Conversion of derivative security $0 +140K $0.00 140K Nov 2, 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 -140K -100% 0 Nov 2, 2021 Common Stock 140K 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.