Medicxi Growth I LP's Form 4 filing
Aura Biosciences, Inc. (AURA) · filed Nov 4, 2021
- Accession no.
- 0000899243-21-043033
- Filed
- Nov 4, 2021, 5:00 PM ET
- Trade date
- Nov 2, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 6 derivative transactions. Open-market purchases total $9.94M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Medicxi Growth I LPCIK 0001690310 | 10% Owner |
| Medicxi Growth Co-Invest I LPCIK 0001715578 | 10% Owner |
| Medicxi Ventures Management (Jersey) LtdCIK 0001715579 | 10% Owner |
| Medicxi Growth I GP LtdCIK 0001715600 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 2, 2021 | Common Stock | CConversionAcquired | +2,275,827 | –F1 | – | 2,275,827 | Indirect | |
| Nov 2, 2021 | Common Stock | PPurchaseAcquired | +693,525 | $14.00 | +$9,709,350 | 2,969,352 | Indirect | |
| Nov 2, 2021 | Common Stock | CConversionAcquired | +54,065 | –F1 | – | 54,065 | Indirect | |
| Nov 2, 2021 | Common Stock | PPurchaseAcquired | +16,475 | $14.00 | +$230,650 | 70,540 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 2, 2021 | Common Stock | CConversionDisposed | −1,650,676 | $0.00 | $0 | 0 | Indirect | |
| Nov 2, 2021 | Common Stock | CConversionDisposed | −373,606 | $0.00 | $0 | 0 | Indirect | |
| Nov 2, 2021 | Common Stock | CConversionDisposed | −251,545 | $0.00 | $0 | 0 | Indirect | |
| Nov 2, 2021 | Common Stock | CConversionDisposed | −39,214 | $0.00 | $0 | 0 | Indirect | |
| Nov 2, 2021 | Common Stock | CConversionDisposed | −8,876 | $0.00 | $0 | 0 | Indirect | |
| Nov 2, 2021 | Common Stock | CConversionDisposed | −5,975 | $0.00 | $0 | 0 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- 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.
Referenced by the price of 2 transactions in Table I.