Form 144: 500,503 AUPH Shares Filed for Resale

Morgan Stanley Smith Barney LLC Executive Financial Services filed a notice to sell 500,503 shares of Common Stock on 05/11/2026 related to an exercise of options under a registered plan.

Rhea-AI Filing Summary

Morgan Stanley Smith Barney LLC Executive Financial Services filed a notice to sell 500,503 shares of Common Stock on 05/11/2026 related to an exercise of options under a registered plan. The filing lists an aggregate value of $7,927,967.52 and identifies the exchange as NASDAQ.

Insights

Securities Counsel

Notice documents a planned sale after option exercise under a registered plan.

The filing records a sale of 500,503 shares dated 05/11/2026, described as an exercise of options under a registered plan. This language indicates a compensation-related exercise followed by a proposed resale rather than an open-market purchase.

Timing and exact distribution method are stated as of the filing date; further disclosures in subsequent transactional reports will show actual execution details and cash flows.

Equity Capital Markets Analyst

Routine Form 144 notice; quantifies shares and aggregate value for resale.

The notice lists 500,503 shares and an aggregate dollar figure $7,927,967.52, providing a clear size for the proposed sale. The filing names Morgan Stanley Smith Barney LLC Executive Financial Services as the broker-dealer intermediary.

Execution mechanics, including whether sales occur in blocks or brokerage transactions, are not detailed here; actual market impact depends on execution disclosures following this notice.

Key Figures

Shares to be sold: 500,503 shares Aggregate value: $7,927,967.52 Exchange: NASDAQ +4 more

7 metrics

Shares to be sold 500,503 shares proposed resale on <date>05/11/2026</date>

Aggregate value $7,927,967.52 value reported alongside the 500,503 shares

Exchange NASDAQ listed exchange in the filing

Filing date 05/11/2026 date associated with the securities to be sold

Broker-dealer Morgan Stanley Smith Barney LLC Executive Financial Services named intermediary on the Form 144

Numeric field present 128,601,671 number appearing in the excerpt (context not labeled)

CUSIP/ID field 500503 identifier shown in the excerpt

Key Terms

Exercise of options under a registered plan, Form 144, Broker-dealer intermediary

3 terms

Exercise of options under a registered plan financial

"Exercise of options under a registered plan | Issuer"

Form 144 regulatory

"Filer Information | 144: Filer Information"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

Broker-dealer intermediary financial

"Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the Form 144 for AUPH show?

The filing reports a proposed resale of 500,503 shares of common stock on 05/11/2026. It states the transaction arises from an exercise of options under a registered plan and lists an aggregate value of $7,927,967.52.

Who is listed as the broker-dealer in the AUPH Form 144?

The notice names Morgan Stanley Smith Barney LLC Executive Financial Services with an address at 1 New York Plaza. The filing identifies this entity as the intermediary for the proposed resale on 05/11/2026.

Does the Form 144 state how the AUPH shares will be sold?

The filing indicates the sale follows an exercise of options under a registered plan, but it does not specify precise sale methods. Details on execution type (block trades, brokerage transactions) are not provided in the excerpt.

What dollar value is associated with the AUPH resale notice?

The Form 144 lists an aggregate value of $7,927,967.52 tied to the 500,503 shares reported for resale on 05/11/2026.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 05/11/2026 - 04:07 PM EDT Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001746372
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	AURINIA PHARMACEUTICALS INC.
SEC File Number	001-36421
Address of Issuer	#140, 14315 - 118 AVENUE EDMONTON ALBERTA, CANADA T5L 4S6
Phone	250-744-2487
Name of Person for Whose Account the Securities are To Be Sold	JOSEPH MILLER
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Former Affiliate

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	500503	7927967.52	128601671	05/11/2026	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	05/11/2026	Exercise of options under a registered plan	Issuer			500503	05/11/2026	Cash

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks	This Form 144 is being filed for the cashless exercise of options and subsequent sales of the underlying shares commencing on 05/11/2026
Date of Notice	05/11/2026
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	/s/ Joseph Miller
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)