Form 4 for AURA Aura Biosciences, Inc.
Accepted 2021-11-04 00:00:00 ET · period of report 2021-11-02 · accession 0000899243-21-043033 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2021-11-04 | 2021-11-02 | AURA | Medicxi Growth I LP | 10% | P - Purchase | $14.00 | +710.0K | 70.5K | New | +$9.94M |
| DMI | 2021-11-04 | 2021-11-02 | AURA | Medicxi Growth I LP | 10% | C - Cnv Deriv | — | +2.33M | 54.1K | New | — |
| DMI | 2021-11-04 | 2021-11-02 | AURA | Medicxi Growth I LP | 10% | C - Cnv Deriv | $0.00 | -2.33M | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-11-02 | P | A | 693,525 | $14.00 | 2,969,352 | I See footnote | — | — | (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. |
| 2 | Common | Common Stock | 2021-11-02 | C | A | 2,275,827 | — | 2,275,827 | I See footnote | — | — | (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. |
| 3 | Common | Common Stock | 2021-11-02 | P | A | 16,475 | $14.00 | 70,540 | I See footnote | — | — | (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. |
| 4 | Common | Common Stock | 2021-11-02 | C | A | 54,065 | — | 54,065 | I See footnote | — | — | (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. (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. |
| 5 | Derivative | Series D-2 Convertible Preferred Stock | 2021-11-02 | C | D | 8,876 | $0.00 | 0 | I See footnote | — · — to — | 8,876 Common Stock | (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. (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. |
| 6 | Derivative | Series E Convertible Preferred Stock | 2021-11-02 | C | D | 5,975 | $0.00 | 0 | I See footnote | — · — to — | 5,975 Common Stock | (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. (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. |
| 7 | Derivative | Series D-1 Convertible Preferred Stock | 2021-11-02 | C | D | 39,214 | $0.00 | 0 | I See footnote | — · — to — | 39,214 Common Stock | (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. |
| 8 | Derivative | Series D-1 Convertible Preferred Stock | 2021-11-02 | C | D | 1,650,676 | $0.00 | 0 | I See footnote | — · — to — | 1,650,676 Common Stock | (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. (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. |
| 9 | Derivative | Series D-2 Convertible Preferred Stock | 2021-11-02 | C | D | 373,606 | $0.00 | 0 | I See footnote | — · — to — | 373,606 Common Stock | (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. (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. |
| 10 | Derivative | Series E Convertible Preferred Stock | 2021-11-02 | C | D | 251,545 | $0.00 | 0 | I See footnote | — · — to — | 251,545 Common Stock | (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. (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. |