SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 10/28/2021 | 3. Issuer Name and Ticker or Trading Symbol Aura Biosciences, Inc. [ AURA ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Beneficially Owned | |||
---|---|---|---|
1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
---|---|---|---|---|---|---|---|
1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series E Convertible Preferred Stock | (1) | (1) | Common Stock(2) | 139,672 | (1) | I | By Velosity Capital Management LLC(3) |
Stock Option (Right to Buy) | (4) | 12/14/2030 | Common Stock | 116,788 | 4.38 | D | |
Stock Option (Right to Buy) | (5) | 06/28/2031 | Common Stock | 204,379 | 5.48 | D |
Explanation of Responses: |
1. Immediately prior to the completion of the Issuer's initial public offering, each share of Series E 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. |
2. Upon the closing of the Issuer's initial public offering, all shares of Series E Preferred Stock will convert into the number of shares of Common Stock of the Issuer shown in column 3. |
3. Velosity Capital Management LLC is an entity that the reporting person is the sole member of. |
4. The shares underlying this option vest in 48 monthly installments, equal to 2.0833% of the shares, over the 48 months following December 8, 2020. |
5. The shares underlying this option vest in 48 monthly installments, equal to 2.0833% of the shares, over the 48 months following March 18, 2021. |
Remarks: |
/s/ Julie Feder | 10/28/2021 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |