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
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
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 Explanation
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
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 Exercise Date 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
  1. Converted to U.S. dollars based on the average daily exchange rate of the Bank of Canada reported on the grant date.
  2. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
  3. 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.
  4. 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.
  5. 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.
  6. The shares subject to the option are fully vested and immediately exercisable. They vested in twelve equal monthly installments from the grant date.
  7. The shares subject to the option vest in thirty-six equal monthly installments from the grant date.
  8. The shares subject to the option are fully vested and immediately exercisable. They vested in thirty-six equal monthly installments from the grant date.