Form 4 for AURA Aura Biosciences, Inc.
Accepted 2021-11-04 00:00:00 ET · period of report 2021-11-02 · accession 0000902664-21-004738 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2021-11-04 | 2021-11-02 | AURA | GOEL DAVID E. | 10% | C - Cnv Deriv | — | +2.33M | 2.33M | New | — |
| DI | 2021-11-04 | 2021-11-02 | AURA | GOEL DAVID E. | 10% | P - Purchase | $14.00 | +1.78M | 4.11M | +77% | +$24.99M |
| DI | 2021-11-04 | 2021-11-02 | AURA | GOEL DAVID E. | 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, par value $0.00001 per share ("Common Stock") | 2021-11-02 | C | A | 2,327,870 | — | 2,327,870 | I See footnotes | — | — | (F1) The Series E Convertible Preferred Stock was convertible at any time, at the holder's election on a 1-for-1 basis, and did not have an expiration date. The shares of Series E Convertible Preferred Stock automatically converted into shares of Common Stock on a 1-for-1 basis upon the closing of the Issuer's initial public offering. (F3) The filing of this statement shall not be deemed an admission that either of the Reporting Persons is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Act of 1934, as amended, or otherwise. Each of the Reporting Persons expressly disclaims beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein. (F2) The securities reported herein are held by Matrix Capital Management Master Fund, LP (the "Matrix Fund"). Matrix Capital Management Company, LP (the "Investment Manager"), a Delaware limited partnership, is the investment advisor to the Matrix Fund. Mr. David E. Goel ("Mr. Goel", and together with the Investment Manager, the "Reporting Persons"), serves as the Managing General Partner of the Investment Manager. |
| 2 | Common | Common Stock | 2021-11-02 | P | A | 1,785,000 | $14.00 | 4,112,870 | I See footnotes | — | — | (F3) The filing of this statement shall not be deemed an admission that either of the Reporting Persons is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Act of 1934, as amended, or otherwise. Each of the Reporting Persons expressly disclaims beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein. (F2) The securities reported herein are held by Matrix Capital Management Master Fund, LP (the "Matrix Fund"). Matrix Capital Management Company, LP (the "Investment Manager"), a Delaware limited partnership, is the investment advisor to the Matrix Fund. Mr. David E. Goel ("Mr. Goel", and together with the Investment Manager, the "Reporting Persons"), serves as the Managing General Partner of the Investment Manager. |
| 3 | Derivative | Series E Convertible Preferred Stock | 2021-11-02 | C | D | 2,327,870 | $0.00 | 0 | I See footnotes | — · — to — | 2,327,870 Common Stock | (F3) The filing of this statement shall not be deemed an admission that either of the Reporting Persons is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Act of 1934, as amended, or otherwise. Each of the Reporting Persons expressly disclaims beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein. (F2) The securities reported herein are held by Matrix Capital Management Master Fund, LP (the "Matrix Fund"). Matrix Capital Management Company, LP (the "Investment Manager"), a Delaware limited partnership, is the investment advisor to the Matrix Fund. Mr. David E. Goel ("Mr. Goel", and together with the Investment Manager, the "Reporting Persons"), serves as the Managing General Partner of the Investment Manager. (F1) The Series E Convertible Preferred Stock was convertible at any time, at the holder's election on a 1-for-1 basis, and did not have an expiration date. The shares of Series E Convertible Preferred Stock automatically converted into shares of Common Stock on a 1-for-1 basis upon the closing of the Issuer's initial public offering. |