Initial Statement of Beneficial Ownership (3)
05 November 2022 - 7:27AM
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
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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
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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]
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(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)
| 5. 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
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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 | |
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 | |
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
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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
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/s/ Nolan Shenai | | 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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