Filing Details
- Accession Number:
- 0000899243-23-004035
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-02-06 16:05:27
- Reporting Period:
- 2023-02-02
- Accepted Time:
- 2023-02-06 16:05:27
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1828108 | Aurora Innovation Inc. | AUR | Services-Computer Integrated Systems Design (7373) | 981562265 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1878943 | Sterling Anderson | C/O Aurora Innovation, Inc. 1654 Smallman St Pittsburgh PA 15222 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Disposition | 2023-02-02 | 49,563 | $2.05 | 253,497 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2023-02-02 | 2,084,042 | $0.00 | 2,337,539 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2023-02-03 | 93,304 | $2.08 | 2,244,235 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | C | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Class B Common Stock | Disposition | 2023-02-02 | 2,084,042 | $0.00 | 2,084,042 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 50,545,131 | No | 4 | C | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Class B Common Stock | $0.00 | 335 | 335 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 335 | 335 | Indirect |
Footnotes
- This transaction was effected automatically pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 13, 2022 (the "Plan"). The Plan was established as part of the investment strategies of the reporting person, which include asset diversification and liquidity over time. Immediately prior to the transactions reported on this Form 4, the reporting person was the beneficial owner of a total of 52,932,568 derivative and non-derivative securities (the "Original Holdings"), which Original Holdings include 52,629,508 shares of Class B common stock, 129,649 shares of Class A common stock, and restricted stock units covering 173,411 shares of Class A common stock. In the event that the maximum number of shares covered by the Plan are sold, the reporting person will continue to beneficially own approximately 85% of the Original Holdings.
- Weighted average price. This transaction was executed in multiple trades at prices ranging from $2.03 to $2.105 inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
- Each share of Class B Common Stock is convertible into an equal number of shares of Class A Common Stock at any time, at the holder's election, and has no expiration date.
- Weighted average price. This transaction was executed in multiple trades at prices ranging from $2.03 to $2.145 inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
- Includes 1,835 shares of Class B Common Stock which were previously reported as held directly by the Anderson 2021 GRAT which were re-registered on July 14, 2022, and are now held directly by the reporting person.
- Excludes 1,835 shares of Class B Common Stock which were previously reported as held directly by the Anderson 2021 GRAT which were re-registered on July 14, 2022, and are now held directly by the reporting person.
- Held by the Anderson 2021 GRAT, of which the reporting person is trustee.
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