Form 4 for AUPH Aurinia Pharmaceuticals Inc.
Accepted 2022-03-04 00:00:00 ET · period of report 2022-03-02 · accession 0001628280-22-005130 · 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 | 2022-03-04 | 2022-03-02 | AUPH | Martin Michael Robert | Chief Business Off | A - Grant | $0.00 | +8,500 | 64.4K | +15% | $0 |
| D | 2022-03-04 | 2022-03-02 | AUPH | Martin Michael Robert | Chief Business Off | S - Sale | $12.01 | -4,849 | 59.5K | -8% | -$58.2K |
| DM | 2022-03-04 | 2022-03-02 | AUPH | Martin Michael Robert | Chief Business Off | A - Grant | $0.00 | +169.3K | 106.8K | 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 | 2022-03-02 | A | A | 8,500 | $0.00 | 64,361 | D | — | — | (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. |
| 2 | Common | Common Stock | 2022-03-02 | S | D | 4,849 | $12.01 | 59,512 | D | — | — | (F2) Represents the number of shares sold to cover tax withholding obligations in connection with the vesting of Performance Awards. |
| 3 | Derivative | Restricted Stock Unit | 2022-03-02 | A | A | 62,448 | $0.00 | 62,448 | D | — · — to — | 62,448 Common Shares | (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. |
| 4 | Derivative | Stock Option (right to buy) | 2022-03-02 | A | A | 106,838 | $0.00 | 106,838 | D | $12.01 · — to 2032-03-02 | 106,838 Common Stock | (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. |