Form 4 for AUPH Aurinia Pharmaceuticals Inc.

Accepted 2023-03-06 00:00:00 ET · period of report 2023-03-02 · accession 0001628280-23-006530 · 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
	2023-03-06	2023-03-02	AUPH	Robertson Stephen P.	EVP, GC	A - Grant	—	+204.8K	322.8K	+174%	—
	2023-03-06	2023-03-02	AUPH	Robertson Stephen P.	EVP, GC	S - Sale	$8.94	-19.4K	303.4K	-6%	-$173.5K

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2023-03-02	A	A	204,810	—	322,766	D	—	—	(F1) Represents grant of Restricted Stock Units (RSUs) payable solely in common stock of the Issuer that vest in three (3) equal annual installments on the first, second and third anniversary of the grant date. (F2) Each RSU represents a contingent right to receive one share of the Issuer's common stock. (F4) The reporting person has reported prior awards of restricted stock units in Table II of Form 4. The total reported in Column 5 includes the 204,810 newly awarded RSUs, 104,080 RSUs previously reported in Table II, which vests in three (3) equal annual installments beginning March 2, 2022 (Prior RSUs), and 11,682 shares of common stock. On March 2, 2023, 34,693 of Prior RSUs vested and 69,387 of Prior RSUs remained unvested. (F3) Includes shares of common stock acquired by the reporting person pursuant to the Issuer's 2021 Employee Share Purchase Plan as follows: 2,016 shares of common stock were acquired on May 31, 2022 and 178 shares of common stock were acquired on November 30, 2022.
2	Common	Common Stock	2023-03-02	S	D	19,402	$8.94	303,364	D	—	—	(F5) Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of RSUs.