| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | AUPH | Common Shares | Options Exercise | $133K | +25K | +14.14% | $5.30 | 202K | Sep 13, 2021 | Direct | F1 |
| transaction | AUPH | Common Shares | Sale | -$495K | -25K | -12.38% | $19.80 | 177K | Sep 10, 2021 | Direct | F2, F3 |
| transaction | AUPH | Common Stock | Options Exercise | $239K | +45K | +25.44% | $5.30 | 222K | Sep 14, 2021 | Direct | F1 |
| transaction | AUPH | Common Stock | Options Exercise | $144K | +45K | +20.28% | $3.20 | 267K | Sep 14, 2021 | Direct | F1 |
| transaction | AUPH | Common Stock | Sale | -$1.91M | -90K | -33.73% | $21.19 | 177K | Sep 14, 2021 | Direct | F4, F5 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | AUPH | Option Grant (right to buy) | Options Exercise | $0 | -25K | -16.67% | $0.00 | 125K | Sep 13, 2021 | Common Stock | 25K | $5.30 | Direct | F1, F6 |
| transaction | AUPH | Option Grant (right to buy) | Options Exercise | $0 | -45K | -36% | $0.00 | 80K | Sep 14, 2021 | Common Stock | 45K | $5.30 | Direct | F1, F7 |
| transaction | AUPH | Option Grant (right to buy) | Options Exercise | $0 | -45K | -50% | $0.00 | 45K | Sep 14, 2021 | Common Stock | 45K | $3.20 | Direct | F1, F8 |
| Id | Content |
|---|---|
| F1 | Converted to U.S. dollars based on the average daily exchange rate of the Bank of Canada reported on the grant date. |
| F2 | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. |
| F3 | 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. |
| F4 | 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. |
| F5 | 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. |
| F6 | The shares subject to the option are fully vested and immediately exercisable. They vested in twelve equal monthly installments from the grant date. |
| F7 | The shares subject to the option vest in thirty-six equal monthly installments from the grant date. |
| F8 | The shares subject to the option are fully vested and immediately exercisable. They vested in thirty-six equal monthly installments from the grant date. |