Filing Details

Accession Number:
0001104659-19-071472
Form Type:
13D Filing
Publication Date:
2019-12-10 16:45:45
Filed By:
Iljin Snt Co., Ltd.
Company:
Aurinia Pharmaceuticals Inc. (NASDAQ:AUPH)
Filing Date:
2019-12-10
SEC Url:
13D Filing
Ownership Summary

Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.

Name Sole Voting Power Shared Voting Power Sole Dispositive Power Shared Dispositive Power Aggregate Amount Owned Power Percent of Class
(voluntary) ILJIN SNT Co., Ltd 0 8,877,616 0 8,877,616 8,877,616 9.2%
(voluntary) ILJIN Semiconductor Co., Ltd 0 988,887 0 988,887 988,887 1.0%
(voluntary) ILJIN Steel Co., Ltd 0 1,621,271 0 1,621,271 1,621,271 1.7%
(voluntary) ILJIN C S Co., Ltd 0 8,877,616 0 8,877,616 8,877,616 9.2%
(voluntary) Sae Kyoung Huh 0 988,887 0 988,887 988,887 1.0%
(voluntary) Chin Kyu Huh 0 10,498,887 0 10,498,887 10,498,887 10.8%
Filing

 

 

UNITED STATES

 

 

SECURITIES AND EXCHANGE COMMISSION

 

 

Washington, D.C. 20549

 

 

 

 

 

SCHEDULE 13D

 

(Rule 13d-101)

 

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO

§240.13D-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO §240.13D-2(a)

 

Under the Securities Exchange Act of 1934
(Amendment No. 5)

 

Aurinia Pharmaceuticals Inc.

(Name of Issuer)

 

Common Shares, no par value

(Title of Class of Securities)

 

05156V102

(CUSIP Number)

 

ILJIN SNT Co., Ltd.
(Dohwa-dong), 45 Maop-daero, Mapo-gu

Seoul, Korea 121-716

Attention: Woo Young Choi

+82-2-707-9742

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

 

December 9, 2019

(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 §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. o

 

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. 05156V102

 

 

1.

Name of Reporting Person
I.R.S. Identification Nos. of above person (entities only) (voluntary)
ILJIN SNT Co., Ltd.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
Not Applicable

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
South Korea

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
0

 

8.

Shared Voting Power
8,877,616*

 

9.

Sole Dispositive Power
0

 

10.

Shared Dispositive Power
8,877,616*

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
8,877,616*

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
9.2%**

 

 

14.

Type of Reporting Person (See Instructions)
CO

 


* Consists of: (i) 8,210,950 Common Shares held by ILJIN SNT and (ii) 666,666 Common Shares issuable to ILJIN SNT upon the exercise of presently-exercisable warrants.

** Based on (i) 96,287,958 shares outstanding as of December 9, 2019, as reported in the Issuers Prospectus Supplement No. 4 dated December 9, 2019 filed with the Securities and Exchange Commission on December 9, 2019, plus (ii) 666,666 Common Shares underlying presently-exercisable warrants held by ILJIN SNT, which are treated as issued and outstanding only for the purpose of computing the percentage ownership of ILJIN SNT.

 

2


 

CUSIP No. 05156V102

 

 

1.

Name of Reporting Person
I.R.S. Identification Nos. of above person (entities only) (voluntary)
ILJIN Semiconductor Co., Ltd.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
Not Applicable

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
South Korea

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
0

 

8.

Shared Voting Power
988,887

 

9.

Sole Dispositive Power
0

 

10.

Shared Dispositive Power
988,887

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
988,887

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
1.0%*

 

 

14.

Type of Reporting Person (See Instructions)
CO

 


* Based on (i) 96,287,958 shares outstanding as of December 9, 2019, as reported in the Issuers Prospectus Supplement No. 4 dated December 9, 2019 filed with the Securities and Exchange Commission on December 9, 2019.

 

3


 

CUSIP No. 05156V102

 

 

1.

Name of Reporting Person
I.R.S. Identification Nos. of above person (entities only) (voluntary)
ILJIN Steel Co., Ltd.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
Not Applicable

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
South Korea

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
0

 

8.

Shared Voting Power
1,621,271

 

9.

Sole Dispositive Power
0

 

10.

Shared Dispositive Power
1,621,271

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
1,621,271

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
1.7%*

 

 

14.

Type of Reporting Person (See Instructions)
CO

 


* Based on (i) 96,287,958 shares outstanding as of December 9, 2019, as reported in the Issuers Prospectus Supplement No. 4 dated December 9, 2019 filed with the Securities and Exchange Commission on December 9, 2019.

 

4


 

CUSIP No. 05156V102

 

 

1.

Name of Reporting Person
I.R.S. Identification Nos. of above person (entities only) (voluntary)
ILJIN C&S Co., Ltd.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
Not Applicable

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
South Korea

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
0

 

8.

Shared Voting Power
8,877,616*

 

9.

Sole Dispositive Power
0

 

10.

Shared Dispositive Power
8,877,616*

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
8,877,616*

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
9.2%**

 

 

14.

Type of Reporting Person (See Instructions)
CO

 


*Consists of: (i) 8,210,950 Common Shares held by ILJIN SNT and (ii) 666,666 Common Shares issuable to ILJIN SNT upon the exercise of presently-exercisable warrants.

** Based on (i) 96,287,958 shares outstanding as of December 9, 2019, as reported in the Issuers Prospectus Supplement No. 4 dated December 9, 2019 filed with the Securities and Exchange Commission on December 9, 2019, plus (ii) 666,666 Common Shares underlying presently-exercisable warrants held by ILJIN SNT, which are treated as issued and outstanding only for the purpose of computing the percentage ownership of ILJIN SNT.

 

5


 

CUSIP No. 05156V102

 

 

1.

Name of Reporting Person
I.R.S. Identification Nos. of above person (entities only) (voluntary)
Sae Kyoung Huh

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
Not Applicable

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
South Korea

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
0

 

8.

Shared Voting Power
988,887*

 

9.

Sole Dispositive Power
0

 

10.

Shared Dispositive Power
988,887*

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
988,887*

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
1.0%**

 

 

14.

Type of Reporting Person (See Instructions)
IN

 


* Represents Common Shares held by ILJIN SM.

** Based on (i) 96,287,958 shares outstanding as of December 9, 2019, as reported in the Issuers Prospectus Supplement No. 4 dated December 9, 2019 filed with the Securities and Exchange Commission on December 9, 2019.

 

6


 

CUSIP No. 05156V102

 

 

1.

Name of Reporting Person
I.R.S. Identification Nos. of above person (entities only) (voluntary)
Chin Kyu Huh

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
Not Applicable

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
South Korea

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
0

 

8.

Shared Voting Power
10,498,887*

 

9.

Sole Dispositive Power
0

 

10.

Shared Dispositive Power
10,498,887*

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person
10,498,887*

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11)
10.8%**

 

 

14.

Type of Reporting Person (See Instructions)
IN

 


*Consists of: (i) 8,210,950 Common Shares held by ILJIN SNT, (ii) 666,666 Common Shares issuable to ILJIN SNT upon the exercise of presently-exercisable warrants and (iii) 1,621,271 Common Shares held by ILJIN Steel.

** Based on (i) 96,287,958 shares outstanding as of December 9, 2019, as reported in the Issuers Prospectus Supplement No. 4 dated December 9, 2019 filed with the Securities and Exchange Commission on December 9, 2019, plus (ii) 666,666 Common Shares underlying presently-exercisable warrants held by ILJIN SNT, which are treated as issued and outstanding only for the purpose of computing the percentage ownership of ILJIN SNT.

 

7


 

CUSIP No. 05156V102

 

AMENDMENT NO. 5 TO SCHEDULE 13D

 

Reference is hereby made to the statement on Schedule 13D filed with the Securities and Exchange Commission by the Reporting Persons with respect to the Common Shares on April 8, 2019, Amendment No. 1 thereto filed on June 4, 2019, Amendment No. 2 thereto filed on November 13, 2019, Amendment No. 3 thereto filed on December 6, 2019 and Amendment No. 4 thereto filed on December 9, 2019 (as so amended, the Schedule 13D).  Terms defined in the Schedule 13D are used herein as so defined.

 

The following items of the Schedule 13D are hereby amended as follows:

 

Item 5.   Interest in Securities of the Issuer

 

Paragraphs (a), (b) and (c) of Item 5 of the Schedule 13D are hereby amended and restated to read as follows:

 

(a)-(b) The information requested by these paragraphs is incorporated herein by reference to the cover pages to this Amendment No. 5 to Schedule 13D.

 

(c)  On December 9, 2019 Iljin SNT sold 800,000 Common Shares in open market broker transactions pursuant to Rule 144 at a weighted average price of $15.55 per share. Such shares were sold in multiple transactions at prices ranging from $15.28 to $15.97.  Iljin SNT undertakes to provide to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within each such range.

 

8


 

CUSIP No. 05156V102

 

SIGNATURE

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

 Dated: December 10, 2019

ILJIN SNT CO., LTD.

 

 

 

 

By:

/s/ Woo Young Choi

 

 

Name:

Woo Young Choi

 

 

Title:

Authorized Signatory

 

 

 

 

ILJIN SEMICONDUCTOR CO., LTD.

 

 

 

 

By:

/s/ Woo Young Choi

 

 

Name:

Woo Young Choi

 

 

Title:

Authorized Signatory

 

 

 

 

 

ILJIN STEEL CO., LTD.

 

 

 

 

By:

/s/ Woo Young Choi

 

 

Name:

Woo Young Choi

 

 

Title:

Authorized Signatory

 

 

 

 

 

ILJIN C&S CO. LTD.

 

 

 

 

By:

/s/ Woo Young Choi

 

 

Name:

Woo Young Choi

 

 

Title:

Authorized Signatory

 

 

 

 

 

/s/ Chin Kyu Huh

 

Chin Kyu Huh

 

 

 

/s/ Sae Kyoung Huh

 

Sae Kyoung Huh

 

9