Aurinia CEO granted options, shares; some withheld for tax

Aurinia Pharmaceuticals Inc. reported insider equity activity by Chief Executive Officer Peter Greenleaf.

Rhea-AI Filing Summary

Aurinia Pharmaceuticals Inc. reported insider equity activity by Chief Executive Officer Peter Greenleaf. He received a grant of 328,424 employee stock options at an exercise price of $0.0000 per share, with one-third vesting twelve months from the grant date and the remainder vesting in twenty-four equal monthly installments thereafter.

On the same grant date, he also acquired 196,403 shares of common stock through an award. Separately, 100,890 common shares were disposed of to cover tax withholding obligations upon the vesting of restricted stock units. Following these transactions, he directly owned 1,840,379 common shares.

Insider Trade Summary

3 transactions reported

Mixed 3 txns

Insider Greenleaf Peter

Role Chief Executive Officer

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock	100,890	$14.21	$1.43M
Grant/Award	Employee Stock Option (right to buy)	328,424	$0.00	$0.00
Grant/Award	Common Stock	196,403	$0.00	$0.00

Holdings After Transaction: Employee Stock Option (right to buy) — 328,424 contracts (Direct); Common Stock — 1,840,379 shares (Direct)

Footnotes (3)

1. F1. Each performance right represents a contingent right to receive one common share of the Issuer. The performance rights vest in four tranches upon the Issuer's common shares achieving four progressively higher target prices, with respective one year retention periods per tranche achievement.
2. F2. Represents shares withheld to satisfy tax withholding obligations upon the vesting of restricted stock units.
3. F3. 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.

FAQ

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

What insider transactions did AUPH CEO Peter Greenleaf report on this Form 4?

Peter Greenleaf reported an equity award and a related tax disposition. He received 328,424 stock options and 196,403 common shares, and 100,890 shares were withheld to satisfy tax obligations on vesting restricted stock units.

How many Aurinia Pharmaceuticals (AUPH) stock options were granted to the CEO?

Peter Greenleaf was granted 328,424 employee stock options at an exercise price of $0.0000 per share. One-third vests after twelve months from the grant date, with the remaining two-thirds vesting over the following twenty-four monthly installments.

What is the vesting schedule for the AUPH CEO’s new stock options?

The stock options vest over three years. One-third of the 328,424 options vests twelve months from the grant date, and the remaining two-thirds vests in twenty-four equal monthly installments thereafter, subject to the continued terms of the award.

Why were 100,890 AUPH shares disposed of in Peter Greenleaf’s filing?

The 100,890 common shares were withheld to cover tax withholding obligations. This occurred upon the vesting of restricted stock units, meaning the disposition was for tax payment rather than an open-market sale by the CEO.

How many Aurinia Pharmaceuticals (AUPH) shares does the CEO own after these transactions?

After the reported transactions, Peter Greenleaf directly owned 1,840,379 shares of Aurinia Pharmaceuticals common stock. This figure reflects his holdings following the grant of new shares and the withholding of shares for tax obligations.

What type of equity awards did AUPH’s CEO receive in this Form 4 filing?

He received two types of awards: 328,424 employee stock options and 196,403 shares of common stock from an equity grant. The options have a multi-year vesting schedule, while the common shares relate to award or performance-based rights.

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

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Accepted by SEC EDGAR 03/03/2026 - 04:13 PM Learn about SEC filing dates

SEC Form 4

FORM 4

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

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Greenleaf Peter

(Last) (First) (Middle)

#140, 14315-118 AVENUE

(Street)

EDMONTON A0 T5L 4S6

(City) (State) (Zip)

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

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

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

3. Date of Earliest Transaction (Month/Day/Year)
02/27/2026

4. 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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction 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	02/27/2026		A		196,403(1)	A	$0	1,941,269	D
Common Stock	03/02/2026		F		100,890(2)	D	$14.21	1,840,379	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. 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: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Employee Stock Option (right to buy)	$13.97	02/27/2026		A		328,424		(3)	02/27/2036	Common Stock	328,424	$0	328,424	D

Explanation of Responses:

1. Each performance right represents a contingent right to receive one common share of the Issuer. The performance rights vest in four tranches upon the Issuer's common shares achieving four progressively higher target prices, with respective one year retention periods per tranche achievement.

2. Represents shares withheld to satisfy tax withholding obligations upon the vesting of restricted stock units.

3. 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/ Peter S. Greenleaf	03/03/2026
	** 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 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 Number.