As filed with the Securities and Exchange Commission on March 23, 2022
Registration No. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM S-8
REGISTRATION STATEMENT
Under
The Securities Act of 1933
AURA BIOSCIENCES, INC.
(Exact name of registrant as specified in its charter)
Delaware | 32-0271970 | |
(State or other jurisdiction of incorporation or organization) |
(I.R.S. Employer Identification No.) |
85 Bolton Street
Cambridge, MA 02140
(617) 500-8864
(Address, including zip code and telephone number, including area code, of Registrants principal executive offices)
Aura Biosciences, Inc. 2021 Stock Option and Incentive Plan
Aura Biosciences, Inc. 2021 Employee Stock Purchase Plan
(Full title of the plans)
Elisabet de los Pinos, Ph.D.
Chief Executive Officer
Aura Biosciences, Inc.
85 Bolton Street
Cambridge, MA 02140
(617) 500-8864
(Name, address, including zip code, and telephone number, including area code, of agent for service)
Copies to:
Stuart Cable, Esq.
Danielle Lauzon, Esq.
Stephanie A. Richards, Esq.
Goodwin Procter LLP
100 Northern Avenue
Boston, Massachusetts 02210
(617) 570-1000
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of large accelerated filer, accelerated filer, smaller reporting company, and emerging growth company in Rule 12b-2 of the Exchange Act.
Large accelerated filer | ☐ | Accelerated filer | ☐ | |||
Non-accelerated filer | ☒ | Smaller reporting company | ☒ | |||
Emerging growth company | ☒ |
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act. ☐
EXPLANATORY NOTE
This registration statement on Form S-8 relating to the 2021 Stock Option and Incentive Plan (the 2021 Plan) and the 2021 Employee Stock Purchase Plan (the 2021 ESPP) (together, the Plans) of Aura Biosciences, Inc. is being filed for the purpose of registering additional securities of the same class as other securities for which a registration statement on Form S-8 relating to the Plans has previously been filed and is effective. Accordingly, pursuant to General Instruction E, the information contained in the registrants registration statement on Form S-8 (File No. 333-260589) is hereby incorporated by reference and made a part of this registration statement, except as presented below in Part II, Item 8. Exhibits.
Part II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
Item 8. Exhibits.
EXHIBIT INDEX
* | Filed herewith. |
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, the registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Cambridge, State of Massachusetts, on this 23rd day of March, 2022.
AURA BIOSCIENCES, INC. | ||
By: | /s/ Elisabet de los Pinos | |
Name: Elisabet de los Pinos, Ph.D. Title: President and Chief Executive Officer |
POWER OF ATTORNEY AND SIGNATURES
KNOW ALL BY THESE PRESENT, that each individual whose signature appears below hereby constitutes and appoints each of Elisabet de los Pinos, Ph.D. and Julie Feder, as such persons true and lawful attorney-in-fact and agent with full power of substitution and resubstitution, for such person in such persons name, place and stead, in any and all capacities, to sign any and all amendments (including post-effective amendments) to this Registration Statement on Form S-8, and to file the same, with all exhibits thereto, and all documents in connection therewith, with the Securities and Exchange Commission granting unto each said attorney-in-fact and agent full power and authority to do and perform each and every act and thing requisite and necessary to be done in and about the premises, as fully to all intents and purposes as such person might or could do in person, hereby ratifying and confirming all that any said attorney-in-fact and agent, or any substitute or substitutes of any of them, may lawfully do or cause to be done by virtue hereof.
Pursuant to the requirements of the Securities Act of 1933, this Registration Statement has been signed by the following person in the capacities and on the date indicated.
Name |
Title |
Date | ||
/s/ Elisabet de los Pinos |
President, Chief Executive Officer and Director Principal Executive Officer | March 23, 2022 | ||
Elisabet de los Pinos, Ph.D. | ||||
/s/ Julie Feder Julie Feder |
Chief Financial Officer Principal Financial Officer and Principal Accounting Officer |
March 23, 2022 | ||
/s/ David Johnson |
Director | March 23, 2022 | ||
David Johnson | ||||
/s/ Giovanni Mariggi |
Director | March 23, 2022 | ||
Giovanni Mariggi, Ph.D. | ||||
/s/ Antony Mattessich |
Director | March 23, 2022 | ||
Antony Mattessich | ||||
/s/ Raj Parekh |
Director | March 23, 2022 | ||
Raj Parekh, Ph.D. | ||||
/s/ Sapna Srivastava |
Director | March 23, 2022 | ||
Sapna Srivastava, Ph.D. | ||||
/s/ Karan Takhar |
Director | March 23, 2022 | ||
Karan Takhar |
Exhibit 5.1
Goodwin Procter LLP 100 Northern Ave. Boston, MA 02210 goodwinlaw.com +1 617 570 1000 |
March 23, 2022
Aura Biosciences, Inc.
85 Bolton St,
Cambridge, MA 02140
Re: | Securities Being Registered under Registration Statement on Form S-8 |
We have acted as counsel to you in connection with your filing of a Registration Statement on Form S-8 (the Registration Statement) pursuant to the Securities Act of 1933, as amended (the Securities Act), on or about the date hereof relating to an aggregate of 1,752,698 shares (the Shares) of Common Stock, par value $0.00001 per share (Common Stock), of Aura Biosciences, Inc., a Delaware corporation (the Company), that may be issued pursuant to the Companys 2021 Stock Option and Incentive Plan and 2021 Employee Stock Purchase Plan (collectively, the Plans).
We have reviewed such documents and made such examination of law as we have deemed appropriate to give the opinions set forth below. We have relied, without independent verification, on certificates of public officials and, as to matters of fact material to the opinion set forth below, on certificates of officers of the Company.
The opinion set forth below is limited to the Delaware General Corporation Law.
For purposes of the opinion set forth below, we have assumed that no event occurs that causes the number of authorized shares of Common Stock available for issuance by the Company to be less than the number of then unissued Shares.
Based on the foregoing, we are of the opinion that the Shares have been duly authorized and, upon delivery against payment therefor in accordance with the terms of the Plans, will be validly issued, fully paid and nonassessable.
We hereby consent to the inclusion of this opinion as Exhibit 5.1 to the Registration Statement. In giving our consent, we do not admit that we are in the category of persons whose consent is required under Section 7 of the Securities Act or the rules and regulations thereunder.
Very truly yours, |
/S/ GOODWIN PROCTER LLP |
GOODWIN PROCTER LLP |
Exhibit 23.1
Consent of Independent Registered Public Accounting Firm
We consent to the incorporation by reference in the Registration Statement (Form S-8) pertaining to the Aura Biosciences, Inc. 2021 Stock Option and Incentive Plan and Aura Biosciences, Inc. 2021 Employee Stock Purchase Plan of our report dated March 23, 2022, with respect to the consolidated financial statements of Aura Biosciences, Inc. included in its Annual Report (Form 10-K) for the year ended December 31, 2021, filed with the Securities and Exchange Commission.
/s/ Ernst & Young LLP
Boston, Massachusetts
March 23, 2022
Exhibit 107
CALCULATION OF REGISTRATION FEE
Form S-8
(Form Type)
Aura Biosciences, Inc.
(Exact name of registrant as specified in its charter)
Newly Registered Securities
Security Type | Security Class Title |
Fee Calculation Rule |
Amount Registered(1) |
Proposed Maximum Offering Price Per Share(2) |
Maximum Offering Price |
Fee Rate |
Amount of Registration Fee | |||||||
Equity | Common Stock, $0.00001 par value per share, 2021 Stock Option and Incentive Plan |
Rule 457(c) and Rule 457(h) |
1,460,582(3) | $21.06 | $30,759,856.92 | $0.0000927 | $2,851.44 | |||||||
Equity | Common Stock, $0.00001 par value per share, 2021 Employee Stock Purchase Plan |
Rule 457(c) and Rule 457(h) |
292,116(4) | $21.06 | $6,151,962.96 | $0.0000927 | $570.29 | |||||||
Total Offering Amounts | $36,911,819.88 | | ||||||||||||
Total Fees Previously Paid | | |||||||||||||
Total Fee Offsets | | |||||||||||||
Net Fee Due | $3,421.73 |
(1) | Pursuant to Rule 416 under the Securities Act of 1933, as amended (the Securities Act), this Registration Statement shall also cover any additional shares of the Registrants common stock, $0.00001 par value per share (the Common Stock), which become issuable under the under the 2021 Stock Option and Incentive Plan (the 2021 Plan) and the 2021 Employee Stock Purchase Plan (the 2021 ESPP) by reason of any stock dividend, stock split, recapitalization or any other similar transaction effected without the receipt of consideration which results in an increase in the number of the Registrants outstanding shares of Common Stock. |
(2) | The price of $21.06 per share, which is the average of the high and low sale prices of the common stock on the Nasdaq Global Market on March 18, 2022, is set forth solely for purposes of calculating the registration fee pursuant to Rules 457(c) and (h) of the Securities Act. |
(3) | Represents an automatic increase to the number of shares available for issuance under the 2021 Plan, of 1,460,582 effective as of January 1, 2022. Shares available for issuance under the 2021 Plan were previously registered on registration statements on Form S-8 filed with the Securities and Exchange Commission on October 29, 2022 (File No. 333-260589). |
(4) | Represents an automatic increase to the number of shares available for issuance under the 2021 ESPP, of 292,116 effective as of January 1, 2022. Shares available for issuance under the 2021 ESPP were previously registered on registration statements on Form S-8 filed with the Securities and Exchange Commission on October 29, 2022 (File No. 333-260589). |