Initial Statement of Beneficial Ownership (3)
05 November 2022 - 07:27AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE
COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP
OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response... 0.5 |
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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1. Name
and Address of Reporting Person * Shenai
Nolan |
2. Date of Event Requiring Statement
(MM/DD/YYYY)
10/27/2022
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3. Issuer Name and Ticker or Trading
Symbol Aurora Innovation, Inc. [AUR] |
(Last)
(First)
(Middle)
C/O AURORA INNOVATION, INC., 1654 SMALLMAN STREET |
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
___X___ Officer (give title
below) _____
Other (specify below)
General Counsel and Secretary / |
(Street)
PITTSBURGH, PA 15222
(City)
(State)
(Zip)
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5. If Amendment, Date Original
Filed(MM/DD/YYYY)
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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 Beneficially
Owned
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1.Title of Security
(Instr. 4) |
2. Amount of Securities Beneficially Owned
(Instr. 4) |
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) |
4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
Class A Common Stock |
109356 (1) |
D |
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
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1. Title of Derivate Security
(Instr. 4) |
2. Date Exercisable and Expiration Date
(MM/DD/YYYY) |
3. Title and Amount of Securities Underlying
Derivative Security
(Instr. 4) |
4. Conversion or Exercise Price of Derivative
Security |
5. Ownership Form of Derivative Security: Direct (D)
or Indirect (I)
(Instr. 5) |
6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Stock Options (Right to Buy) |
(2) |
2/1/2031 |
Class A Common Stock |
298490.0 |
$3.67 |
D |
|
Stock Options (Right to Buy) |
(3) |
8/9/2032 |
Class A Common Stock |
54526.0 |
$2.44 |
D |
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Explanation of
Responses: |
(1) |
Represents (i) 4,822 shares
of Class A common stock of the Issuer, (ii) 50,008 restricted stock
units, each restricted stock unit representing the right to receive
one share of Class A common stock of the Issuer ("RSUs"), which
will time vest quarterly in increments of 3,572 RSUs until fully
vested on February 20, 2026 and (iii) 54,526 RSUs, all of which
will vest on August 20, 2023, subject in each case to the reporting
person's continued service through the applicable vesting
date. |
(2) |
1/4 of the shares subject to
the option vested on August 3, 2021, and 1/36 of the remaining
shares subject to the option vest monthly thereafter, subject to
the reporting person's continued service through the applicable
vesting date. |
(3) |
All of the shares subject to
the option vest on August 20, 2023, subject to the reporting
person's continued service through the vesting date. |
Remarks:
Exhibit 24 - Power of Attorney |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Shenai Nolan
C/O AURORA INNOVATION, INC.
1654 SMALLMAN STREET
PITTSBURGH, PA 15222 |
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|
General Counsel and Secretary |
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Signatures
|
/s/ Nolan Shenai |
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11/4/2022 |
**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 5(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. |
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