Medicxi Ventures Management (Jersey) Ltd - Nov 2, 2021 Form 4 Insider Report for Aura Biosciences, Inc. (AURA)

Role
10%+ Owner
Signature
Medicxi Ventures Management (Jersey) Limited, By: /s/ Giles Johnstone-Scott, Its: Director
Stock symbol
AURA
Transactions as of
Nov 2, 2021
Transactions value $
$9,940,000
Form type
4
Date filed
11/4/2021, 05:00 PM
Previous filing
Oct 28, 2021
Next filing
Nov 30, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AURA Common Stock Conversion of derivative security +2.28M 2.28M Nov 2, 2021 See footnote F1, F2
transaction AURA Common Stock Purchase $9.71M +694K +30.47% $14.00 2.97M Nov 2, 2021 See footnote F2
transaction AURA Common Stock Conversion of derivative security +54.1K 54.1K Nov 2, 2021 See footnote F1, F3
transaction AURA Common Stock Purchase $231K +16.5K +30.47% $14.00 70.5K Nov 2, 2021 See footnote F3

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 D-1 Convertible Preferred Stock Conversion of derivative security $0 -1.65M -100% $0.00* 0 Nov 2, 2021 Common Stock 1.65M See footnote F2, F4
transaction AURA Series D-2 Convertible Preferred Stock Conversion of derivative security $0 -374K -100% $0.00* 0 Nov 2, 2021 Common Stock 374K See footnote F2, F5
transaction AURA Series E Convertible Preferred Stock Conversion of derivative security $0 -252K -100% $0.00* 0 Nov 2, 2021 Common Stock 252K See footnote F2, F6
transaction AURA Series D-1 Convertible Preferred Stock Conversion of derivative security $0 -39.2K -100% $0.00* 0 Nov 2, 2021 Common Stock 39.2K See footnote F3, F4
transaction AURA Series D-2 Convertible Preferred Stock Conversion of derivative security $0 -8.88K -100% $0.00* 0 Nov 2, 2021 Common Stock 8.88K See footnote F3, F5
transaction AURA Series E Convertible Preferred Stock Conversion of derivative security $0 -5.98K -100% $0.00* 0 Nov 2, 2021 Common Stock 5.98K See footnote F3, F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The number of shares of Common Stock contained in Column 4 of Table I, Rows 1 and 3, are the combined total of each share of Series D-1 Convertible Preferred Stock, Series D-2 Convertible Preferred Stock and Series E Convertible Preferred Stock which immediately prior to the closing of the Issuer's initial public offering ("IPO") converted into shares of the Issuer's Common Stock, on a 13.7-for one basis without payment or further consideration and had no expiration date.
F2 Held by Medicxi Growth I LP, a Jersey limited partnership ("Medicxi Growth I"). Medicxi Growth I GP Limited, a Jersey limited liability company ("MGI GP"), is the sole managing general partner of Medicxi Growth I, and Medicxi Ventures Management (Jersey) Limited, a Jersey limited liability company ("Medicxi Manager") is the sole manager of Medicxi Growth I. The Reporting Persons disclaim Section 16 beneficial ownership of the securities held by Medicxi Growth I, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that they have beneficial ownership of such shares for Section 16 or any other purpose.
F3 Held by Medicxi Growth Co-Invest I LP, a Jersey limited partnership ("Medicxi Growth Co-Invest I"). MGI GP is the sole managing general partner of Medicxi Growth Co-Invest I, and Medicxi Manager is the sole manager of Medicxi Growth Co-Invest I. The Reporting Persons disclaim Section 16 beneficial ownership of the securities held by Medicxi Growth Co-Invest I, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that they have beneficial ownership of such shares for Section 16 or any other purpose.
F4 Immediately prior to the closing of the IPO, the Series D-1 Convertible Preferred Stock automatically converted on a 13.7-for one basis into Common Stock without payment or further consideration. The Series D-1 Convertible Preferred Stock had no expiration date.
F5 Immediately prior to the closing of the IPO, the Series D-2 Convertible Preferred Stock automatically converted on a 13.7-for one basis into Common Stock without payment or further consideration. The Series D-2 Convertible Preferred Stock had no expiration date.
F6 Immediately prior to the closing of the IPO, the Series E Convertible Preferred Stock automatically converted on a 13.7-for one basis into Common Stock without payment or further consideration. The Series E Convertible Preferred Stock had no expiration date.