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 |
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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)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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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) |
Common Stock | 126,860 | I | By: EdIP Revocable Trust(1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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 | ||||
Stock Option (Right to Buy) | (2) | 10/28/2021 | Common Stock | 3,649 | 5.48 | D | |
Stock Option (Right to Buy) | (2) | 10/01/2024 | Common Stock | 5,474 | 5.75 | D | |
Stock Option (Right to Buy) | (2) | 06/02/2025 | Common Stock | 10,948 | 5.07 | D | |
Stock Option (Right to Buy) | (2) | 04/11/2026 | Common Stock | 14,598 | 5.48 | D | |
Stock Option (Right to Buy) | (2) | 07/07/2027 | Common Stock | 14,598 | 5.21 | D | |
Stock Option (Right to Buy) | (3) | 02/21/2028 | Common Stock | 364,963 | 2.74 | D | |
Stock Option (Right to Buy) | (4) | 02/06/2029 | Common Stock | 63,548 | 3.15 | D | |
Stock Option (Right to Buy) | (5) | 03/16/2030 | Common Stock | 194,889 | 4.25 | D | |
Stock Option (Right to Buy) | (6) | 06/28/2031 | Common Stock | 620,437 | 5.48 | D | |
Series A-1 Preferred Stock | (7) | (8) | Common Stock(8) | 3,042 | (7) | I | By: EdIP Revocable Trust(1) |
Series A-2 Preferred Stock | (9) | (10) | Common Stock(10) | 1,510 | (9) | I | By: EdIP Revocable Trust(1) |
Explanation of Responses: |
1. 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. |
2. This option is fully vested. |
3. 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. |
4. 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 |
5. 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. |
6. 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. |
7. 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. |
8. 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. |
9. 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. |
10. 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. |
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. |