Michael Robert Martin - 20 Sep 2021 Form 4 Insider Report for Aurinia Pharmaceuticals Inc. (AUPH)

Role
Chief Business Officer
Signature
/s/ Michael Robert Martin
Issuer symbol
AUPH
Transactions as of
20 Sep 2021
Net transactions value
-$2,070,975
Form type
4
Filing time
22 Sep 2021, 16:31:03 UTC
Previous filing
16 Sep 2021
Next filing
03 Nov 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AUPH Common Stock Options Exercise $151,050 +28,500 +16% $5.30 205,361 20 Sep 2021 Direct F1
transaction AUPH Common Shares Sale $271,375 -12,500 -6.1% $21.71 192,861 20 Sep 2021 Direct F2, F3
transaction AUPH Common Shares Sale $345,600 -16,000 -8.3% $21.60 176,861 20 Sep 2021 Direct F4, F5
transaction AUPH Common Stock Options Exercise $39,750 +7,500 +4.2% $5.30 184,361 21 Sep 2021 Direct F1
transaction AUPH Common Stock Options Exercise $424,200 +70,000 +38% $6.06 254,361 21 Sep 2021 Direct F1
transaction AUPH Common Stock Options Exercise $183,800 +10,000 +3.9% $18.38 264,361 21 Sep 2021 Direct F1
transaction AUPH Common Shares Sale $2,101,750 -87,500 -33% $24.02 176,861 21 Sep 2021 Direct F2, F6

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

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 $151,050 -28,500 -79% $5.30 7,500 20 Sep 2021 Common Stock 28,500 $5.30 Direct F1, F7
transaction AUPH Option Grant (right to buy) Options Exercise $0 -7,500 -100% $0.000000* 0 21 Sep 2021 Common Stock 7,500 $5.30 Direct F1, F7
transaction AUPH Option Grant (right to buy) Options Exercise $0 -70,000 -100% $0.000000* 0 21 Sep 2021 Common Stock 70,000 $6.06 Direct F1, F8
transaction AUPH Option Grant (right to buy) Options Exercise $0 -10,000 -15% $0.000000 56,900 21 Sep 2021 Common Stock 10,000 $18.38 Direct F1, F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

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 sold in multiple transactions ranging from $21.70 to $21.73, 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.
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 sold in multiple transactions ranging from $21.56 to $21.61, 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 price in column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $23.90 to $24.17, 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.
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 vest in twenty-four equal monthly installments from the grant date.