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Aura Biosciences (AURA) director receives RSUs and stock options

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

Rhea-AI Filing Summary

Aura Biosciences, Inc. director David Michael Johnson reported new equity compensation awards and updated his holdings. He received 15,000 shares of Common Stock through a restricted stock unit (RSU) award under the 2021 Stock Option and Incentive Plan, which vests in full on the earlier of June 11, 2027 or the next annual stockholder meeting, subject to continued service. He was also granted stock options for 30,000 shares of Common Stock at an exercise price of $6.21 per share, expiring June 11, 2036, with the same vesting schedule. After these awards, he directly holds 194,167 Common shares and 30,000 options, and indirectly holds additional shares through Velocity Capital Management LLC and the NEJ09 and NEJ12 irrevocable trusts where he is a trustee or sole member.

Positive

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Insider Johnson David Michael
Role null
Type Security Shares Price Value
Grant/Award Stock Option (Right to Buy) 30,000 $0.00 --
Grant/Award Common Stock 15,000 $0.00 --
holding Common Stock -- -- --
holding Common Stock -- -- --
holding Common Stock -- -- --
Holdings After Transaction: Stock Option (Right to Buy) — 30,000 shares (Direct, null); Common Stock — 194,167 shares (Direct, null); Common Stock — 75,000 shares (Indirect, By NEJ09 IRREVOCABLE TRUST)
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 11, 2027 or (b) the next annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service as of such vesting date. The shares are held by the NEJ09 IRREVOCABLE TRUST dated December 24, 2020, of which the Reporting Person is a trustee. The shares are held by the NEJ12 IRREVOCABLE TRUST dated December 24, 2020, of which the Reporting Person is a trustee. Velosity Capital Management LLC is an entity that the Reporting Person is the sole member of. This stock option will vest and become exercisable in full upon the earlier to occur of (a) June 11, 2027 or (b) the next annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service as of such vesting date.
RSU grant size 15,000 shares Common Stock RSU award vesting by June 11, 2027 or next meeting
Option grant size 30,000 options Stock Option (Right to Buy) on Common Stock
Option exercise price $6.21 per share Conversion/exercise price for new stock options
Option expiration June 11, 2036 Expiration date of the 30,000-share stock option grant
Direct shares after grant 194,167 shares Total direct Common Stock holdings following RSU grant
Velocity Capital holdings 139,672 shares Indirect Common Stock held by Velocity Capital Management LLC
NEJ09 trust holdings 75,000 shares Indirect Common Stock held by NEJ09 irrevocable trust
NEJ12 trust holdings 75,000 shares Indirect Common Stock held by NEJ12 irrevocable trust
restricted stock unit ("RSU") award financial
"These shares were acquired pursuant to a restricted stock unit ("RSU") award under the Issuer's 2021 Stock Option and Incentive Plan."
2021 Stock Option and Incentive Plan financial
"These shares were acquired pursuant to a restricted stock unit ("RSU") award under the Issuer's 2021 Stock Option and Incentive Plan."
Stock Option (Right to Buy) financial
"Stock Option (Right to Buy) with 30,000.0000 underlying Common Stock shares and a $6.2100 exercise price."
irrevocable trust financial
"The shares are held by the NEJ09 IRREVOCABLE TRUST dated December 24, 2020, of which the Reporting Person is a trustee."
An irrevocable trust is a legal arrangement where an owner transfers assets into a separate entity managed by a trustee and gives up the power to modify or reclaim those assets. For investors it matters because putting stock or other holdings into such a trust can change who controls and benefits from the assets, affect taxes and creditor protection, and influence how easy it is to sell or value those holdings—like placing valuables in a locked safe overseen by someone else.
vesting financial
"This stock option will vest and become exercisable in full upon the earlier to occur of (a) June 11, 2027 or (b) the next annual meeting of the Issuer's stockholders."
Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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*
Johnson David Michael
(Last)(First)(Middle)
C/O AURA BIOSCIENCES, INC.
80 GUEST STREET
(Street)
BOSTON MASSACHUSETTS 02135
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
Aura Biosciences, Inc. [ AURA ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
06/11/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

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)
CodeVAmount(A) or (D)Price
Common Stock06/11/2026A15,000(1)A$0194,167D
Common Stock75,000IBy NEJ09 IRREVOCABLE TRUST(2)
Common Stock75,000IBy NEJ12 IRREVOCABLE TRUST(3)
Common Stock139,672IBy Velocity Capital Management(4)
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option (Right to Buy)$6.2106/11/2026A30,000 (5)06/11/2036Common Stock30,000$030,000D
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 11, 2027 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. The shares are held by the NEJ09 IRREVOCABLE TRUST dated December 24, 2020, of which the Reporting Person is a trustee.
3. The shares are held by the NEJ12 IRREVOCABLE TRUST dated December 24, 2020, of which the Reporting Person is a trustee.
4. Velosity Capital Management LLC is an entity that the Reporting Person is the sole member of.
5. This stock option will vest and become exercisable in full upon the earlier to occur of (a) June 11, 2027 or (b) the next annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service as of such vesting date.
/s/ Conor Kilroy, as Attorney-in-Fact06/15/2026
** Signature of Reporting PersonDate
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.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What equity awards did Aura Biosciences (AURA) director David Michael Johnson receive?

David Michael Johnson received 15,000 Common Stock shares via a restricted stock unit award and stock options for 30,000 shares. Both awards are part of Aura Biosciences’ 2021 Stock Option and Incentive Plan and reflect compensation-related grants rather than open-market purchases.

What is the vesting schedule for David Michael Johnson’s new Aura Biosciences RSUs?

The 15,000 RSUs vest in full on the earlier of June 11, 2027 or Aura Biosciences’ next annual stockholder meeting. Vesting is conditioned on Johnson’s continued service with the company through the applicable vesting date, aligning the award with ongoing board participation.

What are the key terms of David Michael Johnson’s new Aura Biosciences stock options?

Johnson was granted options on 30,000 Aura Biosciences Common shares at a $6.21 exercise price per share. These options vest in full on the earlier of June 11, 2027 or the next annual stockholder meeting and expire on June 11, 2036 if not exercised.

How many Aura Biosciences shares does David Michael Johnson hold after these grants?

After the reported grants, Johnson directly holds 194,167 shares of Aura Biosciences Common Stock. He also indirectly holds additional Common shares through Velocity Capital Management LLC and the NEJ09 and NEJ12 irrevocable trusts associated with him as trustee or sole member.

Are David Michael Johnson’s recent Aura Biosciences transactions open-market buys or sells?

The reported transactions are equity compensation grants, not open-market buys or sells. They include a 15,000-share RSU award and stock options for 30,000 shares granted at $6.21, reflecting compensation rather than discretionary trading in Aura Biosciences stock.

What indirect Aura Biosciences holdings are reported for David Michael Johnson?

Indirect holdings include 139,672 Common shares held by Velocity Capital Management LLC, where Johnson is sole member, and 75,000 Common shares each held by the NEJ09 and NEJ12 irrevocable trusts, where he serves as trustee, reflecting additional exposure beyond his direct ownership.