# EDGAR Filing Document

**Accession Number:** 0001828108
**File Stem:** 0000899243-23-004035
**Filing Date:** 2023-2
**Character Count:** 8593
**Document Hash:** 0306ec634be4ee0deca25b87918be3a3
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000899243-23-004035.hdr.sgml**: 20230206

**ACCESSION NUMBER**: 0000899243-23-004035

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230202

**FILED AS OF DATE**: 20230206

**DATE AS OF CHANGE**: 20230206

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Anderson Sterling
- **CENTRAL INDEX KEY:** 0001878943

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40216
- **FILM NUMBER:** 23590686

**MAIL ADDRESS:**
- **STREET 1:** C/O AURORA INNOVATION, INC.
- **CITY:** 280 N BERNARDO AVE
- **STATE:** CA
- **ZIP:** 94042
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Aurora Innovation, Inc.
- **CENTRAL INDEX KEY:** 0001828108
- **STANDARD INDUSTRIAL CLASSIFICATION:** SERVICES-COMPUTER INTEGRATED SYSTEMS DESIGN [7373]
- **IRS NUMBER:** 981562265
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 50 33RD ST
- **CITY:** PITTSBURGH
- **STATE:** PA
- **ZIP:** 15201
- **BUSINESS PHONE:** (888) 583-9506

**MAIL ADDRESS:**
- **STREET 1:** 50 33RD ST
- **CITY:** PITTSBURGH
- **STATE:** PA
- **ZIP:** 15201

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Reinvent Technology Partners Y
- **DATE OF NAME CHANGE:** 20201210

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Reinvent Technology Partners C
- **DATE OF NAME CHANGE:** 20201013

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Anderson Sterling<br><sub>(Last) (First) (Middle)</sub><br>C/O AURORA INNOVATION, INC.<br>1654 SMALLMAN ST<br><sub>(Street)</sub><br>PITTSBURGH, PA 15222<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-02 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Aurora Innovation, Inc. [ AUR ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Class A Common Stock | 2023-02-02 |  | S<sup>(1)</sup> |  | 49563 | D | 2.0501<sup>(2)</sup> | 253497 | D |  |
| Class A Common Stock | 2023-02-02 |  | C |  | 2084042 | A | <sup>(3)</sup> | 2337539 | D |  |
| Class A Common Stock | 2023-02-03 |  | S<sup>(1)</sup> |  | 93304 | D | 2.0847<sup>(4)</sup> | 2244235 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Class B Common Stock | <sup>(3)</sup> | 2023-02-02 |  | C |  |  | 2084042 | <sup>(3)</sup> | <sup>(3)</sup> | Class A Common Stock | 2084042 | $0.00 | 50545131<sup>(5)</sup> | D |  |
| Class B Common Stock | <sup>(3)</sup> |  |  |  |  |  |  | <sup>(3)</sup> | <sup>(3)</sup> | Class A Common Stock | 335 |  | 335<sup>(6)</sup> | I | See Footnote<sup>(7)</sup> |

---

### Footnotes:

(1) This transaction was effected automatically pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 13, 2022 (the "Plan"). The Plan was established as part of the investment strategies of the reporting person, which include asset diversification and liquidity over time. Immediately prior to the transactions reported on this Form 4, the reporting person was the beneficial owner of a total of 52,932,568 derivative and non-derivative securities (the "Original Holdings"), which Original Holdings include 52,629,508 shares of Class B common stock, 129,649 shares of Class A common stock, and restricted stock units covering 173,411 shares of Class A common stock. In the event that the maximum number of shares covered by the Plan are sold, the reporting person will continue to beneficially own approximately 85% of the Original Holdings.

(2) Weighted average price. This transaction was executed in multiple trades at prices ranging from $2.03 to $2.105 inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.

(3) Each share of Class B Common Stock is convertible into an equal number of shares of Class A Common Stock at any time, at the holder's election, and has no expiration date.

(4) Weighted average price. This transaction was executed in multiple trades at prices ranging from $2.03 to $2.145 inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.

(5) Includes 1,835 shares of Class B Common Stock which were previously reported as held directly by the Anderson 2021 GRAT which were re-registered on July 14, 2022, and are now held directly by the reporting person.

(6) Excludes 1,835 shares of Class B Common Stock which were previously reported as held directly by the Anderson 2021 GRAT which were re-registered on July 14, 2022, and are now held directly by the reporting person.

(7) Held by the Anderson 2021 GRAT, of which the reporting person is trustee.

**Signature:** /s/ Jessica McBride, Attorney-in-fact for Sterling Anderson  
**Date:** 2023-02-06

### Remarks:

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).

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 Number.**