Aura Biosciences Inc. filed SEC Form 8-K: Submission of Matters to a Vote of Security Holders

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): June 20, 2024

Aura Biosciences, Inc.

(Exact name of Registrant as Specified in Its Charter)

Registrant’s Telephone Number, Including Area Code: 617 500-8864

Not Applicable

(Former Name or Former Address, if Changed Since Last Report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

Securities registered pursuant to Section 12(b) of the Act:

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).

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 13(a) of the Exchange Act. ☐

On June 20, 2024, Aura Biosciences, Inc. (the “Company”) held its 2024 Annual Meeting of Stockholders (the “Annual Meeting”). As further described below in Item 5.07 to this Current Report on Form 8-K, at the Annual Meeting, the Company’s stockholders approved an amendment to the Company’s Tenth Amended and Restated Certificate of Incorporation (the “Charter Amendment”) to limit the liability of certain officers of the Company as permitted by the Delaware General Corporation Law (“DGCL”). A description of the Charter Amendment is set forth in the Company’s definitive proxy statement (the “Proxy Statement”) filed with the Securities and Exchange Commission (the “SEC”) on April 25, 2024 under Section 14(a) of the Securities Exchange Act of 1934, as amended, in the section titled “Proposal No. 2 – Approval of Amendment to Tenth Amended and Restated Certificate of Incorporation to Reflect Delaware General Corporation Law Provisions Regarding Exculpation of Officers.” The Charter Amendment was previously approved by the Company’s Board of Directors (the “Board”), subject to approval by the Company’s stockholders.

On June 20, 2024, the Company filed the Charter Amendment with the Secretary of State of the State of Delaware and the Charter Amendment became effective upon filing.

The foregoing description of the Charter Amendment does not purport to be complete and is qualified in its entirety by reference to the full text of the Charter Amendment, a copy of which is filed as Exhibit 3.1 to this Current Report on Form 8-K and incorporated herein by reference.

The proposals set forth below were submitted to the stockholders at the Annual Meeting held on June 20, 2024, with each such proposal described in the Proxy Statement for the Annual Meeting filed with the SEC on April 25, 2024, and the supplement to the Proxy Statement filed with the SEC on June 14, 2024.

The number of shares of common stock entitled to vote at the Annual Meeting was 49,533,018. The number of shares of common stock present or represented by valid proxy at the Annual Meeting was 38,742,131. The number of votes cast for and against and the number of abstentions and broker non-votes with respect to each proposal voted upon at the Annual Meeting are set forth below.

Proposal 1 - Election of Directors

The Company’s stockholders elected the two (2) director nominees below to the Board as Class III directors to hold office until the 2027 Annual Meeting of Stockholders of the Company or until their successors are duly elected and qualified.

Proposal 2 – Approve an Amendment to the Company’s Tenth Amended and Restated Certificate of Incorporation to reflect Delaware General Corporation Law Provisions regarding Exculpation of Officers

The Company’s stockholders approved the Charter Amendment to limit the liability of certain officers of the Company as permitted by the DGCL.

Proposal 3 - Ratification of Appointment of Independent Registered Accounting Firm

The Company’s stockholders ratified the appointment of Ernst & Young LLP as the independent registered public accounting firm of the Company for the fiscal year ending December 31, 2024.

(d) Exhibits.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.