Stephen P. Robertson - 02 Mar 2022 Form 4 Insider Report for Aurinia Pharmaceuticals Inc. (AUPH)

Role: EVP, General Counsel
Signature: /s/ Stephen P. Robertson
Issuer symbol: AUPH
Transactions as of: 02 Mar 2022
Net transactions value: $0
Form type: 4
Filing time: 04 Mar 2022, 15:11:08 UTC
Next filing: 22 Feb 2024
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	AUPH	Common Stock	Award	$0	+8,500	+267%	$0.000000	11,682	02 Mar 2022	Direct	F1, F2

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	Restricted Stock Unit	Award	$0	+104,080		$0.000000	104,080	02 Mar 2022	Common Shares	104,080		Direct	F3
transaction	AUPH	Stock Option (right to buy)	Award	$0	+178,063		$0.000000	178,063	02 Mar 2022	Common Stock	178,063	$12.01	Direct	F4

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	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.
F2	Includes 462 shares acquired by the Reporting Person under the Issuer's 2021 Employee Share Purchase Plan on December 1, 2021.
F3	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.
F4	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.