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AUPH Aurinia Pharmaceuticals Inc

5.20
0.11 (2.16%)
After Hours
Last Updated: 21:30:00
Delayed by 15 minutes
Share Name Share Symbol Market Type
Aurinia Pharmaceuticals Inc NASDAQ:AUPH NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.11 2.16% 5.20 5.20 5.20 5.31 5.07 5.08 1,665,617 21:30:00

Statement of Changes in Beneficial Ownership (4)

06/03/2023 9:30pm

Edgar (US Regulatory)


FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Miller Joseph M
2. Issuer Name and Ticker or Trading Symbol

Aurinia Pharmaceuticals Inc. [ AUPH ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
Chief Financial Officer
(Last)          (First)          (Middle)

#1203-4464 MARKHAM STREET
3. Date of Earliest Transaction (MM/DD/YYYY)

3/2/2023
(Street)

VICTORIA, A1 V8Z7X8
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 3/2/2023  A  229421 (1)A (2)342510 (3)(4)D  
Common Stock 3/2/2023  S  11296 (5)D$8.94 331214 D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares

Explanation of Responses:
(1) 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.
(2) Each RSU represents a contingent right to receive one share of the Issuer's common stock.
(3) Includes shares of common stock acquired by the reporting person pursuant to the Issuer's 2021 Employee Share Purchase Plan as follows: 743 shares of common stock were acquired on May 31, 2022 and 1,656 shares of common stock were acquired on November 30, 2022.
(4) 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 229,421 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 6,610 shares of common stock. On March 2, 2023, 34,693 of Prior RSUs vested and 69,387 of Prior RSUs remained unvested.
(5) Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of RSUs.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Miller Joseph M
#1203-4464 MARKHAM STREET
VICTORIA, A1 V8Z7X8


Chief Financial Officer

Signatures
/s/ Joseph M. Miller3/6/2023
**Signature of Reporting PersonDate


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
*If the form is filed by more than one reporting person, see Instruction 4(b)(v).
**Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note:File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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