Robert Bindert Huizinga - Sep 21, 2021 Form 4 Insider Report for Aurinia Pharmaceuticals Inc. (AUPH)

Role
EVP of Research
Signature
/s/ Robert Bindert Huizinga
Stock symbol
AUPH
Transactions as of
Sep 21, 2021
Transactions value $
-$701,818
Form type
4
Date filed
9/22/2021, 04:53 PM
Previous filing
Sep 14, 2021
Next filing
Oct 26, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AUPH Common Stock Options Exercise $42.1K +16K +15.08% $2.63 122K Sep 21, 2021 Direct F1
transaction AUPH Common Stock Options Exercise $35.6K +11.1K +9.12% $3.20 133K Sep 21, 2021 Direct F1
transaction AUPH Common Stock Sale -$653K -27.1K -20.37% $24.05 106K Sep 21, 2021 Direct F2, F3
transaction AUPH Common Stock Sale -$127K -5.36K -5.06% $23.66 101K Sep 21, 2021 Direct F2, F4

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 Stock Option (right to buy) Options Exercise $0 -16K -100% $0.00* 0 Sep 21, 2021 Common Stock 16K $2.63 Direct F1, F5
transaction AUPH Stock Option (right to buy) Options Exercise $0 -11.1K -10.12% $0.00 98.9K Sep 21, 2021 Common Stock 11.1K $3.20 Direct F1, F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Converted to U.S. dollars based on the average daily exchange rate of the Bank of Canada reported on the grant date.
F2 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
F3 The price in column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $24.02 to $24.15, 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.
F4 The price in column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $23.64 to $23.87, 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.
F5 The shares subject to the option are fully vested and immediately exercisable. They vested in three equal monthly installments from the grant date.
F6 The shares subject to the option are fully vested and immediately exercisable. They vested in thirty-six equal monthly installments from the grant date.