Aurinia Pharmaceuticals Inc. — Director's Dealing 2021

Nov 12, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Aurinia Pharmaceuticals Inc. (AUPH)
CIK: 0001600620
Period of Report: 2021-11-09

Reporting Person: Solomons Neil (Chief Medical Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-11-09	Common Shares	S	50000	$30.17	Disposed	87299	Direct
2021-11-10	Common Stock	M	70000	$6.06	Acquired	157299	Direct
2021-11-10	Common Stock	M	30000	$5.30	Acquired	187299	Direct
2021-11-10	Common Stock	S	90000	$31.17	Disposed	97299	Direct
2021-11-10	Common Stock	S	10000	$30.55	Disposed	87299	Direct
2021-11-11	Common Stock	M	100000	$5.30	Acquired	187299	Direct
2021-11-11	Common Stock	S	100000	$28.89	Disposed	87299	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-11-10	Stock Option (right to buy)	$6.06	M	70000	Disposed	2029-01-29	Common Stock (70000.0)	Direct
2021-11-10	Stock Option (right to buy)	$5.3	M	30000	Disposed	2028-02-01	Common Stock (30000.0)	Direct
2021-11-11	Stock Option (right to buy)	$5.3	M	100000	Disposed	2028-02-01	Common Stock (100000.0)	Direct

Footnotes

F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F2: The price in column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $30.00 to $30.40, 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.

F3: Converted to U.S. dollars based on the average daily exchange rate of the Bank of Canada reported on the grant date.

F4: The price in column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $31.00 to $31.55, 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 price in column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $30.30 to $30.80, 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.

F6: The price in column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $28.50 to $29.50, 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.

F7: The shares subject to the option vest in twenty-four equal monthly installments from the grant date.

F8: The shares subject to the option vest in thirty-six equal monthly installments from the grant date.