0000902664-22-005060.txt : 20221207 0000902664-22-005060.hdr.sgml : 20221207 20221207163017 ACCESSION NUMBER: 0000902664-22-005060 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20221207 DATE AS OF CHANGE: 20221207 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Aura Biosciences, Inc. CENTRAL INDEX KEY: 0001501796 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 320271970 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-92997 FILM NUMBER: 221450485 BUSINESS ADDRESS: STREET 1: 80 GUEST STREET CITY: BOSTON STATE: MA ZIP: 01235 BUSINESS PHONE: (617)500-8864 MAIL ADDRESS: STREET 1: 80 GUEST STREET CITY: BOSTON STATE: MA ZIP: 01235 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Matrix Capital Management Company, LP CENTRAL INDEX KEY: 0001410830 IRS NUMBER: 043475951 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 1000 WINTER STREET STREET 2: C/O MATRIX CAPITAL MANAGEMENT CITY: WALTHAM STATE: MA ZIP: 02451 BUSINESS PHONE: 781-522-4948 MAIL ADDRESS: STREET 1: 1000 WINTER STREET STREET 2: C/O MATRIX CAPITAL MANAGEMENT CITY: WALTHAM STATE: MA ZIP: 02451 FORMER COMPANY: FORMER CONFORMED NAME: Matrix Capital Management Company, LLC DATE OF NAME CHANGE: 20070827 SC 13D/A 1 p22-2572sc13da.htm AURA BIOSCIENCES, INC.
SECURITIES AND EXCHANGE COMMISSION  
Washington, D.C. 20549  
   
SCHEDULE 13D/A
 
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
 

Aura Biosciences, Inc.

(Name of Issuer)
 

Common Stock, par value $0.00001 per share

(Title of Class of Securities)
 

G2007L105

(CUSIP Number)
 
John Kaleba
Matrix Capital Management Company LP
Bay Colony Corporate Center
1000 Winter Street, Suite 4500
Waltham, MA 02451
 
Eleazer Klein, Esq.
Adriana Schwartz, Esq.
Schulte Roth & Zabel LLP
919 Third Avenue
New York, NY 10022

(212) 756-2000

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
 

December 5, 2022

(Date of Event Which Requires Filing of This Statement)
 

 

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), Rule 13d-1(f) or Rule 13d-1(g), check the following box. ¨

 

(Page 1 of 6 Pages)

______________________________

* The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

 

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

CUSIP No. 05153U107SCHEDULE 13D/APage 2 of 6 Pages

 

1

NAME OF REPORTING PERSON

Matrix Capital Management Company LP

2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ¨

(b) ¨

3 SEC USE ONLY

4

SOURCE OF FUNDS

OO

5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨
6

CITIZENSHIP OR PLACE OF ORGANIZATION

State of Delaware

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
7

SOLE VOTING POWER

0

8

SHARED VOTING POWER

5,362,870 shares of Common Stock

9

SOLE DISPOSITIVE POWER

0

10

SHARED DISPOSITIVE POWER

5,362,870 shares of Common Stock

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

5,362,870 shares of Common Stock

12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ¨
13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

14.50%

14

TYPE OF REPORTING PERSON

PN, IA

         

 

 

CUSIP No. 05153U107SCHEDULE 13D/APage 3 of 6 Pages

 

 

1

NAME OF REPORTING PERSON

David E. Goel

2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ¨

(b) ¨

3 SEC USE ONLY

4

SOURCE OF FUNDS

OO

5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨
6

CITIZENSHIP OR PLACE OF ORGANIZATION

United States of America

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
7

SOLE VOTING POWER

0

8

SHARED VOTING POWER

5,362,870 shares of Common Stock

9

SOLE DISPOSITIVE POWER

0

10

SHARED DISPOSITIVE POWER

5,362,870 shares of Common Stock

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

5,362,870 shares of Common Stock

12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ¨
13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

14.50%

14

TYPE OF REPORTING PERSON

IN, HC

         

 

 

CUSIP No. 05153U107SCHEDULE 13D/APage 4 of 6 Pages

 

The following constitutes Amendment No. 1 to the Schedule 13D filed by the undersigned (the “Amendment No. 1”). This Amendment No. 1 amends the Schedule 13D as specifically set forth herein.

 

Item 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
 
Item 3 is hereby amended and restated in its entirety as follows:
 
  The Matrix Fund acquired (i) 2,327,870 shares (the “Conversion Shares”) of Common Stock reported herein upon the automatic conversion of 31,891,823 shares of the Issuer's Series E Convertible Preferred Stock upon the completion of the Issuer's initial public offering (the “IPO”); (ii) 1,785,000 shares (the “IPO Shares”) of Common Stock in the IPO at a price of $14 per IPO Share and (iii) 1,250,000 shares (the “Offering Shares”) of Common Stock at a price of $12 per Offering Share upon the completion of  the Issuer’s public offering of shares of Common Stock pursuant to the Issuer's Prospectus (the “Prospectus”) filed pursuant to Rule 424(b)(5) with the Securities and Exchange Commission (the “SEC”) on December 1, 2022 (the “Offering”). Funds for the purchase of the IPO Shares and the Offering Shares were derived from general working capital of the Matrix Fund. An aggregate total of $39,990,000 was paid to acquire the IPO Shares and the Offering Shares.

 

Item 5. INTEREST IN SECURITIES OF THE ISSUER
   
Items 5(a)-(c) are hereby amended and restated as follows:
   
(a)

See rows (11) and (13) of the cover pages to this Schedule 13D for the aggregate number of Class A Ordinary Shares and percentages of the Class A Ordinary Shares beneficially owned by each Reporting Person. The percentages used in this Schedule 13D as of the date hereof are calculated based upon 36,988,285 shares of Common Stock outstanding, as reported in the Prospectus and the Company’s Current Report on Form 8-K filed with the SEC on December 5, 2022, after giving effect to the completion of the Offering and the full exercise of the underwriter’s over-allotment option, as described therein.

   
(b) See rows (7) through (10) of the cover pages to this Schedule 13D for the number of shares of Common Stock as to which each Reporting Person has the sole or shared power to vote or direct the vote and sole or shared power to dispose or to direct the disposition.
   
(c) Other than as disclosed in Item 3, no transactions in the shares of Common Stock have been effected by the Reporting Persons during the past sixty (60) days.

 

 

CUSIP No. 05153U107SCHEDULE 13D/APage 5 of 6 Pages

 

 

Item 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER
   
Item 6 is hereby amended and supplemented by the addition of the following:
   
  In connection with the Offering, the Matrix Fund entered into a lock-up agreement with the underwriters of the Offering that restrict its ability to sell or transfer its shares of Common Stock or any securities convertible into or exercisable or exchangeable for shares of Common Stock for a period of not less than 90 days after the date of  the of the Underwriting Agreement entered into by the Issuer in connection with the Offering without the prior written consent of the representatives of the underwriters that participated in the Offering, subject to certain exceptions (the “Offering Lock-Up Agreement”).
   
  The foregoing description of the Offering Lock-Up Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of the Offering Lock-Up Agreement which is attached hereto as Exhibit D and is incorporated herein by reference.

 

Item 7. MATERIAL TO BE FILED AS EXHIBITS
   
Item 7 is hereby amended and supplemented by the addition of the following:
   
Exhibit D:

Form of the Offering Lock-Up Agreement (incorporated herein by reference to Exhibit I to Exhibit 1.1 to the Issuer’s Current Report on Form 8-K filed with the SEC on December 5, 2022).

 

 

CUSIP No. 05153U107SCHEDULE 13D/APage 6 of 6 Pages

 

SIGNATURES

After reasonable inquiry and to the best of his or its knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct.

Date: December 7, 2022

 

 

  MATRIX CAPITAL MANAGEMENT COMPANY LP
   
  By: /s/ David E. Goel
  Name: David E. Goel
  Title: Managing General Partner
   
   
  /s/ David E. Goel
  David E. Goel