Aurinia Pharmaceuticals Inc. — Director's Dealing 2021

Sep 22, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Aurinia Pharmaceuticals Inc. (AUPH)
CIK: 0001600620
Period of Report: 2021-09-20

Reporting Person: Martin Michael Robert (Chief Business Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-09-20	Common Stock	M	28500	$5.30	Acquired	205361	Direct
2021-09-20	Common Shares	S	12500	$21.71	Disposed	192861	Direct
2021-09-20	Common Shares	S	16000	$21.60	Disposed	176861	Direct
2021-09-21	Common Stock	M	7500	$5.30	Acquired	184361	Direct
2021-09-21	Common Stock	M	70000	$6.06	Acquired	254361	Direct
2021-09-21	Common Stock	M	10000	$18.38	Acquired	264361	Direct
2021-09-21	Common Shares	S	87500	$24.02	Disposed	176861	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-09-20	Option Grant (right to buy)	$5.3	M	28500	Disposed	2028-02-01	Common Stock (28500.0)	Direct
2021-09-21	Option Grant (right to buy)	$5.3	M	7500	Disposed	2028-02-01	Common Stock (7500.0)	Direct
2021-09-21	Option Grant (right to buy)	$6.06	M	70000	Disposed	2029-01-29	Common Stock (70000.0)	Direct
2021-09-21	Option Grant (right to buy)	$18.38	M	10000	Disposed	2030-01-28	Common Stock (10000.0)	Direct

Footnotes

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 $21.70 to $21.73, 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 sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person in connection with a divorce settlement agreement.

F5: The price in column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $21.56 to $21.61, 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 purchased 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 $23.90 to $24.17, 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 thirty-six equal monthly installments from the grant date.

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