Statement of Changes in Beneficial Ownership (4)
June 15 2023 - 9:14AM
Edgar (US Regulatory)
FORM 4
☐
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Maday David |
2. Issuer Name and Ticker or Trading Symbol
Aurora Innovation, Inc.
[
AUR
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) See Remarks |
(Last)
(First)
(Middle)
C/O AURORA INNOVATION, INC., 1654 SMALLMAN STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/14/2023 |
(Street)
PITTSBURGH, PA 15222 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
(City)
(State)
(Zip)
|
Rule 10b5-1(c) Transaction Indication
☐
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to
satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. 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
|
Class A Common Stock | 6/14/2023 | | A | | 750000 (1) | A | $0 | 1103396 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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 Options (Right to Buy) | $2.07 | 6/14/2023 | | A | | 125000 | | (2) | 6/14/2033 | Class A Common Stock | 125000 | $0 | 125000 | D | |
Stock Options (Right to Buy) | $2.07 | 6/14/2023 | | A | | 500000 | | (3) | 6/14/2033 | Class A Common Stock | 500000 | $0 | 500000 | D | |
Stock Options (Right to Buy) | $2.07 | 6/14/2023 | | A | | 125000 | | (4) | 6/14/2033 | Class A Common Stock | 125000 | $0 | 125000 | D | |
Explanation of Responses: |
(1) | The reported securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer. The reported securities represents (i) 125,000 RSUs, 50% of which will vest on each of the Issuer's standard quarterly vesting dates following May 20, 2023, (ii) 500,000 RSUs, 12.5% of which will vest on each of the Issuer's standard quarterly vesting dates following November 20, 2023, and (iii) 125,000 RSUs, 25% of which will vest on each of the Issuer's standard quarterly vesting dates following November 20, 2025, in each case subject to the reporting person's continued service through the applicable vesting date. |
(2) | 1/7th of the shares subject to the stock option will vest monthly following May 20, 2023, subject to the reporting person?s continued service through the applicable vesting date. |
(3) | 1/24th of the shares subject to the stock option will vest monthly following December 20, 2023, subject to the reporting person's continued service through the applicable vesting date. |
(4) | 1/12th of the shares subject to the stock option will vest monthly following December 20, 2025, subject to the reporting person's continued service through the applicable vesting date. |
Remarks: Reporting person's title: Chief Financial Officer |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Maday David C/O AURORA INNOVATION, INC. 1654 SMALLMAN STREET PITTSBURGH, PA 15222 |
|
| See Remarks |
|
Signatures
|
/s/ Yijun Han, Attorney-in-fact for David Maday | | 6/15/2023 |
**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 control number. |
Reinvent Technology Part... (NASDAQ:RTPYU)
Historical Stock Chart
From May 2024 to Jun 2024
Reinvent Technology Part... (NASDAQ:RTPYU)
Historical Stock Chart
From Jun 2023 to Jun 2024