| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | AUPH | Common Shares | Sale | -$1.51M | -50K | -36.42% | $30.17 | 87.3K | Nov 9, 2021 | Direct | F1, F2 |
| transaction | AUPH | Common Stock | Options Exercise | $424K | +70K | +80.18% | $6.06 | 157K | Nov 10, 2021 | Direct | F3 |
| transaction | AUPH | Common Stock | Options Exercise | $159K | +30K | +19.07% | $5.30 | 187K | Nov 10, 2021 | Direct | F3 |
| transaction | AUPH | Common Stock | Sale | -$2.81M | -90K | -48.05% | $31.17 | 97.3K | Nov 10, 2021 | Direct | F1, F4 |
| transaction | AUPH | Common Stock | Sale | -$306K | -10K | -10.28% | $30.55 | 87.3K | Nov 10, 2021 | Direct | F1, F5 |
| transaction | AUPH | Common Stock | Options Exercise | $530K | +100K | +114.55% | $5.30 | 187K | Nov 11, 2021 | Direct | F3 |
| transaction | AUPH | Common Stock | Sale | -$2.89M | -100K | -53.39% | $28.89 | 87.3K | Nov 11, 2021 | Direct | F1, F6 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | AUPH | Stock Option (right to buy) | Options Exercise | $0 | -70K | -100% | $0.00* | 0 | Nov 10, 2021 | Common Stock | 70K | $6.06 | Direct | F3, F7 |
| transaction | AUPH | Stock Option (right to buy) | Options Exercise | $0 | -30K | -23.08% | $0.00 | 100K | Nov 10, 2021 | Common Stock | 30K | $5.30 | Direct | F3, F8 |
| transaction | AUPH | Stock Option (right to buy) | Options Exercise | $0 | -100K | -100% | $0.00* | 0 | Nov 11, 2021 | Common Stock | 100K | $5.30 | Direct | F3, F8 |
| Id | Content |
|---|---|
| F1 | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. |
| F2 | 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. |
| F3 | Converted to U.S. dollars based on the average daily exchange rate of the Bank of Canada reported on the grant date. |
| F4 | 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. |
| F5 | 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. |
| F6 | The price in column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $28.50 to $29.50, 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 twenty-four equal monthly installments from the grant date. |
| F8 | The shares subject to the option vest in thirty-six equal monthly installments from the grant date. |