Neil Solomons Form 3 Aurinia Pharmaceuticals / Neil Solomons ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:	3235-0104
Estimated average burden
hours per response:	0.5

1. Name and Address of Reporting Person^*

Solomons Neil

(Last) (First) (Middle)

#1203-4464 MARKHAM STREET

(Street)

VICTORIA A1 V8Z7X8

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
01/01/2021

3. Issuer Name and Ticker or Trading Symbol
Aurinia Pharmaceuticals Inc. [ AUPH ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Chief Medical Officer

5. If Amendment, Date of Original Filed (Month/Day/Year)

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 Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	187,299	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option (right to buy)	(1)	03/30/2021	Common Stock	40,000	3.02(2)	D
Stock Option (right to buy)	(3)	02/09/2027	Common Stock	152,000	3.2(2)	D
Stock Option (right to buy)	(4)	02/01/2028	Common Stock	175,000	5.3(2)	D
Stock Option (right to buy)	(5)	01/29/2029	Common Stock	70,000	6.06(2)	D
Stock Option (right to buy)	(4)	01/28/2030	Common Stock	69,900	18.38(2)	D
Stock Option (right to buy)	(6)	12/21/2030	Common Stock	224,184	13.03	D

Explanation of Responses:

1. The shares subject to the option are fully vested and immediately exercisable. They vested in twelve equal monthly installments from the grant date.

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

3. The shares subject to the option are fully vested and immediately exercisable. They vested in thirty-six equal monthly installments from the grant date.

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

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

6. One-third of the shares subject to the option vests twelve months from the grant date, and the remainder vests in twenty-four equal monthly installments thereafter.

Remarks:

	/s/ Stephen Robertson, Attorney-in-Fact for Neil Solomons, M.D.	01/04/2021
	** Signature of Reporting Person	Date
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 5 (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 Number.