Filing Details
- Accession Number:
- 0001828108-23-000194
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-09-08 17:11:51
- Reporting Period:
- 2023-09-07
- Accepted Time:
- 2023-09-08 17:11:51
- 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 | Acquisiton | 2023-09-07 | 9,600 | $0.00 | 71,533 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2023-09-07 | 9,600 | $3.53 | 61,933 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2023-09-08 | 14,239 | $0.00 | 76,172 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2023-09-08 | 14,239 | $3.50 | 61,933 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| 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 | 2023-09-07 | 9,600 | $0.00 | 9,600 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2023-09-08 | 14,239 | $0.00 | 14,239 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 45,060,593 | No | 4 | C | Direct | ||
| 45,046,354 | No | 4 | C | Direct |
Footnotes
- 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.
- This transaction was effected automatically pursuant to a previously disclosed Rule 10b5-1 trading plan (the "Plan") adopted by the reporting person on September 13, 2022. The Plan was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) in effect at the time of adoption of the Plan. 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 total Class A Common Stock and Class B Common Stock the reporting person beneficially owned immediately prior to the first transactions under the Plan.
- Weighted average price. This transaction was executed in multiple trades at prices ranging from $3.50 to $3.585, 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.
- Weighted average price. This transaction was executed in multiple trades at prices ranging from $3.48 to $3.54, 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.
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