Filing Details

Accession Number:
0001628280-22-005129
Form Type:
4
Zero Holdings:
No
Publication Time:
2022-03-04 16:12:47
Reporting Period:
2022-03-02
Accepted Time:
2022-03-04 16:12:47
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
1636642 Maxwell Matthew Donley #1203-4464 Markham Street
Victoria A1 V8Z7X8
Ex Vp, Intern'l Operations 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 Stock Acquisiton 2022-03-02 8,500 $0.00 19,276 No 4 A Direct
Common Stock Disposition 2022-03-02 3,052 $12.01 16,224 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Shares Restricted Stock Unit Acquisiton 2022-03-02 104,080 $0.00 104,080 $0.00
Common Stock Stock Option (right to buy) Acquisiton 2022-03-02 178,063 $0.00 178,063 $12.01
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
104,080 No 4 A Direct
178,063 2032-03-02 No 4 A Direct
Footnotes
  1. On March 18, 2021, the Reporting Person was granted stock based performance awards ("Performance Awards") which vests when specific performance metrics are met based on the results for the year ended December 31, 2021. It was determined that as of March 2, 2022, the Reporting Person partially met the performance criteria and received shares of common stock for no consideration.
  2. Includes 876 shares acquired by the Reporting Person under the Issuer's 2021 Employee Share Purchase Plan on December 1, 2021.
  3. Represents the number of shares sold to cover tax withholding obligations in connection with the vesting of Performance Awards.
  4. Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. The RSUs shall vest in three (3) equal annual installments beginning March 2, 2022, provided the Reporting Person remains continuously employed by the Issuer through each annual vesting date.
  5. One-third of the shares subject to the option vests twelve months from the grant date, and the remainder vests in twenty-four equal monthly installments thereafter.