SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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*
Aurora Daljit Singh

(Last) (First) (Middle)
C/O NEUMORA THERAPEUTICS, INC.
490 ARSENAL WAY, SUITE 200

(Street)
WATERTOWN MA 02472

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Neumora Therapeutics, Inc. [ NMRA ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
checkbox checked Officer (give title below) Other (specify below)
Chief Strategy Officer
3. Date of Earliest Transaction (Month/Day/Year)
09/12/2024
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
checkbox checked Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 97,500 D
Common Stock 114,703 I See footnote(1)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right to Buy) $4.24 09/12/2024 G(2) 137,538 (2) 09/20/2031 Common Stock 137,538 $0 40,890(3) D
Stock Option (Right to Buy) $4.24 09/12/2024 G(2) 137,538 (2) 09/20/2031 Common Stock 137,538 $0 137,538 I See footnote(1)
Stock Option (Right to Buy) $6.51 09/12/2024 G(2) 136,210 (2) 01/18/2033 Common Stock 136,210 $0 207,901(4) D
Stock Option (Right to Buy) $6.51 09/12/2024 G(2) 136,210 (2) 01/18/2033 Common Stock 136,210 $0 136,210 I See footnote(1)
Stock Option (Right to Buy) $6.36 09/12/2024 G(2) 29,737 (2) 06/22/2033 Common Stock 29,737 $0 72,221(5) D
Stock Option (Right to Buy) $6.36 09/12/2024 G(2) 29,737 (2) 06/22/2033 Common Stock 29,737 $0 29,737 I See footnote(1)
Explanation of Responses:
1. Shares held by Aurora Family Trust.
2. Represents fully vested stock options transferred pursuant to an option transfer agreement dated September 12, 2024 between the Reporting Person and Aurora Family Trust, of which members of the Reporting Person's immediate family are the sole beneficiaries.
3. 25% of the shares subject to the option vest on the first anniversary measured from August 2, 2021 (the "Vesting Commencement Date"), and 1/48th of the total number of shares vest monthly thereafter, such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date.
4. 25% of the shares subject to the option vest on the first anniversary measured from February 1, 2023 (the "Vesting Commencement Date"), and 1/48th of the total number of shares vest monthly thereafter, such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date.
5. 25% of the shares subject to the option vest on the first anniversary measured from June 30, 2023 (the "Vesting Commencement Date"), and 1/48th of the total number of shares vest monthly thereafter, such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date.
/s/ Joshua Pinto, as Attorney-in-Fact for Daljit Singh Aurora 09/13/2024
** 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 4 (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).
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