Matrix Capital Management Company, LP's Form 4 filing
Aura Biosciences, Inc.AURA · filed Nov 4, 2021
- Accession no.
- 0000902664-21-004738
- Filed
- Nov 4, 2021, 4:44 PM ET
- Trade date
- Nov 2, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market purchases total $25.0M. 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 |
|---|---|
| Matrix Capital Management Company, LPCIK 0001410830 | 10% Owner |
| Goel David E.CIK 0001548144 | 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, par value $0.00001 per share ("Common Stock") | CConversionAcquired | +2,327,870 | –F1 | – | 2,327,870 | Indirect | |
| Nov 2, 2021 | Common Stock | PPurchaseAcquired | +1,785,000 | $14.00 | +$24,990,000 | 4,112,870 | 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 | −2,327,870 | $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 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.
Referenced by the price of 1 transaction in Table I.