Form 4 for AUPH Aurinia Pharmaceuticals Inc.
Accepted 2025-03-04 00:00:00 ET · period of report 2025-02-28 · accession 0001600620-25-000019 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2025-03-04 | 2025-03-03+ | AUPH | Robertson Stephen P. | EVP, GC | S - Sale | $7.96 | -122.5K | 566.9K | -18% | -$975.2K |
| DM | 2025-03-04 | 2025-02-28+ | AUPH | Robertson Stephen P. | EVP, GC | A - Grant | $0.00 | +186.5K | 529.3K | +54% | $0 |
| D | 2025-03-04 | 2025-02-28 | AUPH | Robertson Stephen P. | EVP, GC | A - Grant | $0.00 | +128.4K | 128.4K | 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 | 2025-03-04 | S | D | 57,607 | $7.92 | 509,276 | D | — | — | (F6) Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of RSUs related to the March 2, 2022 and March 2, 2023 grants. (F7) The price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.76 to $8.10, 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. |
| 2 | Common | Common Stock | 2025-03-03 | S | D | 64,872 | $8.00 | 566,883 | D | — | — | (F4) Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) related to the February 20, 2024 grant and March 2, 2023 performance award. (F5) The price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.79 to $8.13, 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. |
| 3 | Common | Common Stock | 2025-03-03 | A | A | 102,406 | $0.00 | 631,755 | D | — | — | (F3) Represents grant of performance award payable solely in common shares of the Issuer that vest in two (2) equal annual installments on December 31, 2024 and December 31, 2025. |
| 4 | Common | Common Stock | 2025-02-28 | A | A | 84,106 | $0.00 | 529,349 | D | — | — | (F1) Each performance right represents a contingent right to receive one common share of the Issuer. The performance rights vest in four tranches upon the Issuer's common shares achieving four progressively higher target prices, with respective one year retention periods per tranche achievement. (F2) Includes common shares acquired by the reporting person pursuant to the Issuer's 2021 Employee Share Purchase Plan as follows: 513 common shares were acquired on May 31, 2024 and 506 common shares were acquired on November 29, 2024. |
| 5 | Derivative | Employee Stock Option (right to buy) | 2025-02-28 | A | A | 128,438 | $0.00 | 128,438 | D | $7.55 · — to 2035-02-28 | 128,438 Common Stock | (F8) 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. |