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Filing Details

Accession Number:: 0001628280-21-018603
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-09-14 18:16:31
Reporting Period:: 2021-09-10

Accepted Time:: 2021-09-14 18:16:31
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1600620	Aurinia Pharmaceuticals Inc.	AUPH	Pharmaceutical Preparations (2834)	000000000

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1837647	Robert Michael Martin	#1203-4464 Markham Street Victoria A1 V8Z7X8	Chief Business Officer	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Shares	Acquisiton	2021-09-13	25,000	$5.30	201,861	No	4	M	Direct
Common Shares	Disposition	2021-09-10	25,000	$19.80	176,861	No	4	S	Direct
Common Stock	Acquisiton	2021-09-14	45,000	$5.30	221,861	No	4	M	Direct
Common Stock	Acquisiton	2021-09-14	45,000	$3.20	266,861	No	4	M	Direct
Common Stock	Disposition	2021-09-14	90,000	$21.19	176,861	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Option Grant (right to buy)	Disposition	2021-09-13	25,000	$0.00	25,000	$5.30
Common Stock	Option Grant (right to buy)	Disposition	2021-09-14	45,000	$0.00	45,000	$5.30
Common Stock	Option Grant (right to buy)	Disposition	2021-09-14	45,000	$0.00	45,000	$3.20

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
125,000	2028-02-01	No	4	M	Direct
80,000	2028-02-01	No	4	M	Direct
45,000	2027-02-09	No	4	M	Direct

Footnotes

Converted to U.S. dollars based on the average daily exchange rate of the Bank of Canada reported on the grant date.
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
The price in column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $19.76 to $19.87, inclusive. The reporting person undertakes to provide to 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 purchased at each separate price within the range.
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person in connection with a divorce settlement agreement.
The price in column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $21.00 to $21.42, inclusive. The reporting person undertakes to provide to 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 purchased at each separate price within the range.
The shares subject to the option are fully vested and immediately exercisable. They vested in twelve equal monthly installments from the grant date.
The shares subject to the option vest in thirty-six equal monthly installments from the grant date.
The shares subject to the option are fully vested and immediately exercisable. They vested in thirty-six equal monthly installments from the grant date.