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  4. [Form 4] Aura Biosciences, Inc. Insider Trading Activity

Aura Biosciences director receives fresh equity awards with no disposals

Filing Impact
(Moderate)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Aura Biosciences (AURA) Form 4: Director Sapna Srivastava reported new equity awards dated 17 June 2025.

  • 13,000 restricted stock units (RSUs) were granted at no cost; they vest on the earlier of 17 June 2026 or the next annual shareholder meeting, contingent on continued service.
  • 17,000 stock options were issued with a $6.18 exercise price, identical vesting trigger, and an expiration date of 17 June 2035.

Following the transaction, Srivastava directly owns 23,500 common shares and 17,000 options. No shares were sold, and the awards constitute routine director compensation that modestly increases ownership alignment without immediate cash impact.

Positive

  • No insider selling; 13,000 RSUs and 17,000 options increase director–shareholder alignment

Negative

  • Potential modest dilution from issuance of additional equity instruments

Insights

TL;DR: Routine board equity grant; no insider sales, minimal dilution; neutral investor impact.

The filing shows Sapna Srivastava receiving 13,000 RSUs and 17,000 at-the-money options. Because these were issued at $0 (RSUs) and $6.18 (options), there is no cash outlay by the director, and only minor prospective dilution for shareholders. Post-grant, her stake grows to 23,500 shares plus options, modestly strengthening alignment with investors. Absence of disposals removes any negative signal. Overall, the event is standard for board compensation and is unlikely to materially move the stock.

Insider Srivastava Sapna
Role Director
Type Security Shares Price Value
Grant/Award Stock Option (Right to Buy) 17,000 $0.00 --
Grant/Award Common Stock 13,000 $0.00 --
Holdings After Transaction: Stock Option (Right to Buy) — 17,000 shares (Direct); Common Stock — 23,500 shares (Direct)
Footnotes (1)
  1. These shares were acquired pursuant to a restricted stock unit ("RSU") award under the Issuer's 2021 Stock Option and Incentive Plan. Each RSU represents the right to receive one share of the Issuer's Common Stock. These RSUs vest in full upon the earlier to occur of (a) June 17, 2026 or (b) the next annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service as of such vesting date. This stock option will vest and become exercisable in full upon the earlier to occur of (a) June 17, 2026 or (b) the next annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service as of such vesting date.
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Srivastava Sapna
(Last) (First) (Middle)
C/O AURA BIOSCIENCES, INC.
80 GUEST STREET
(Street)
BOSTON MA 02135
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Aura Biosciences, Inc. [ AURA ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
06/17/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 06/17/2025 A 13,000(1) A $0 23,500 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right to Buy) $6.18 06/17/2025 A 17,000 (2) 06/17/2035 Common Stock 17,000 $0 17,000 D
Explanation of Responses:
1. These shares were acquired pursuant to a restricted stock unit ("RSU") award under the Issuer's 2021 Stock Option and Incentive Plan. Each RSU represents the right to receive one share of the Issuer's Common Stock. These RSUs vest in full upon the earlier to occur of (a) June 17, 2026 or (b) the next annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service as of such vesting date.
2. This stock option will vest and become exercisable in full upon the earlier to occur of (a) June 17, 2026 or (b) the next annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service as of such vesting date.
Remarks:
Exhibit 24.1 - Power of Attorney.
/s/ Conor Kilroy, as Attorney-in-Fact 06/18/2025
** 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 4 (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.

Source: View Original Filing on SEC EDGAR

FAQ

How many Aura Biosciences (AURA) shares did Sapna Srivastava acquire?

13,000 restricted stock units were granted, each representing one common share.

What is the exercise price of the new stock options?

The options carry a $6.18 exercise price.

When will the RSUs and options vest?

They vest on the earlier of 17 June 2026 or the next Aura Biosciences annual shareholder meeting, subject to continued service.

Did the director sell any AURA shares in this filing?

No. The Form 4 reports only awards; there were no share disposals.