Form 4 for AUPH Aurinia Pharmaceuticals Inc.
Accepted 2023-05-23 00:00:00 ET · period of report 2023-05-18 · accession 0001600620-23-000018 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2023-05-23 | 2023-05-19 | AUPH | MacKay-Dunn R. Hector | Dir | A - Grant | $0.00 | +9,310 | 29.0K | +47% | $0 |
| D | 2023-05-23 | 2023-05-23 | AUPH | MacKay-Dunn R. Hector | Dir | S - Sale+OE | $11.26 | -4,818 | 24.2K | -17% | -$54.3K |
| D | 2023-05-23 | 2023-05-18 | AUPH | MacKay-Dunn R. Hector | Dir | M - OptEx | — | +8,733 | 19.7K | +79% | — |
| D | 2023-05-23 | 2023-05-18 | AUPH | MacKay-Dunn R. Hector | Dir | M - OptEx | $0.00 | -8,733 | 0 | -100% | $0 |
| D | 2023-05-23 | 2023-05-19 | AUPH | MacKay-Dunn R. Hector | Dir | A - Grant | $0.00 | +15.2K | 15.2K | New | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-05-19 | A | A | 9,310 | $0.00 | 29,043 | D | — | — | (F2) Represents grant of the RSUs payable solely in common stock of the Issuer. The shares subject to the RSUs shall vest one year from date of grant. |
| 2 | Common | Common Stock | 2023-05-23 | S | D | 4,818 | $11.26 | 24,225 | D | — | — | (F3) Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of RSUs. |
| 3 | Common | Common Stock | 2023-05-18 | M | A | 8,733 | — | 19,733 | D | — | — | (F1) Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer Common Stock. The RSUs have no expiration date. |
| 4 | Derivative | Restricted Stock Units | 2023-05-18 | M | D | 8,733 | $0.00 | 0 | D | — · 2023-05-18 to — | 8,733 Common Stock | (F1) Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer Common Stock. The RSUs have no expiration date. |
| 5 | Derivative | Stock Option (right to buy) | 2023-05-19 | A | A | 15,234 | $0.00 | 15,234 | D | $10.74 · — to 2033-05-19 | 15,234 Common Stock | (F4) The option vests in twelve equal monthly installments commencing on June 19, 2023. |