Filing Details
- Accession Number:
- 0001628280-21-023169
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-11-12 16:18:12
- Reporting Period:
- 2021-11-09
- Accepted Time:
- 2021-11-12 16:18:12
- 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
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Shares | Disposition | 2021-11-09 | 50,000 | $30.17 | 126,861 | No | 4 | S | Direct | |
| Common Shares | Disposition | 2021-11-10 | 50,000 | $31.26 | 76,861 | No | 4 | S | Direct | |
| Common Shares | Disposition | 2021-11-10 | 10,000 | $30.55 | 66,861 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-11-11 | 29,000 | $18.38 | 95,861 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-11-11 | 29,000 | $28.82 | 66,861 | No | 4 | S | Direct | |
| Common Shares | Disposition | 2021-11-11 | 11,000 | $29.50 | 55,861 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2021-11-11 | 29,000 | $0.00 | 29,000 | $18.38 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 27,900 | 2030-01-28 | No | 4 | M | Direct |
Footnotes
- 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 sold in multiple transactions ranging from $30.00 to $30.40, 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 sold at each separate price within the range.
- The price in column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $31.00 to $31.55, 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 sold at each separate price within the range.
- The price in column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $30.30 to $30.80, 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 sold at each separate price within the range.
- Converted to U.S. dollars based on the average daily exchange rate of the Bank of Canada reported on the grant date.
- The price in column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $28.60 to $29.05, 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 sold at each separate price within the range.
- The shares subject to the option vest in thirty-six equal monthly installments from the grant date.
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