Aurinia Pharmaceuticals Inc
For the period ended Dec 31, 2023. Filed Feb 15, 2024.
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A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.
FY2023 · Filed Feb 15, 2024
AUPH$16.30-1.9%Stored close · as of Nov 10, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 15. Exhibits, Financial Statement Schedules
a. We have filed the following documents as part of this Annual Report:
- Consolidated Financial Statements.
The following financial statements are filed as part of this report:
Our consolidated financial statements are listed under Part II, Item 8. "Index to Consolidated Financial Statements" in this Annual Report.
- Financial Statement Schedules
All financial statement schedules have been omitted because they are not applicable, not material or the required information is shown under Part II, Item 8. “Index to Consolidated Financial Statements” in this Annual Report.
- Exhibits
The following exhibits, as required by Item 601 of Regulation S-K, which are incorporated herein by reference, are filed or furnished with this Annual Report, in each case as indicated therein.
| Incorporation by Reference | |||||
|---|---|---|---|---|---|
| ExhibitNumber | Description | Form | SEC File No. | Exhibit | Filing Date |
| 3.1 | Articles of Amalgamation, as amended, as currently in effect | 10-K | 001-36421 | 3.1 | 02/24/21 |
| 3.2 | Amended and Restated By-Law No. 2 amended as currently in effect | 8-K | 001-36421 | 3.2 | 04/27/21 |
| 4.1 | Form of Common Shares Certificate of the Company | 10-K | 001-36421 | 4.1 | 02/24/21 |
| 4.2 | Reference is made to Exhibits 3.1 and 3.2 | ||||
| 4.3 | Description of the Registrant's Common Shares | 10-K | 001-36421 | 4.3 | 02/24/21 |
| 10.1+ | Form of Indemnity Agreement between the Registrant and each of its Directors and Executive Officers | 10-K | 001-36421 | 10.1 | 02/24/21 |
| 10.2+ | Form of Option Commitment under the Equity Incentive Plan | S-8 | 333-216447 | 99.2 | 03/03/2017 |
| 10.3+ | Aurinia Pharmaceuticals Inc. Amended and Restated Equity Plan | S-8 | 333-257424 | 10.1 | 06/25/21 |
| 10.4+ | Aurinia Pharmaceuticals Inc. 2021 Employee Share Purchase Plan | S-8 | 333-257424 | 10.2 | 06/25/21 |
| 10.5 | Collaboration and Licensing Agreement between the Registrant and Otuska Pharmaceutical Co. Ltd. dated December 17, 2020 | 6-K | 001-36421 | 99.2 | 12/30/20 |
| 10.6# | Manufacturing Services Agreement between the Registrant and Lonza Ltd. dated November 16, 2020 | 10-K | 001-36421 | 10.5 | 02/24/21 |
| 10.7# | Collaboration & License Agreement between Aurinia Pharmaceuticals Inc. and Riptide Bioscience Inc. dated August 16, 2021 | 8-K | 001-36421 | 99.1 | 08/17/21 |
| 10.8# | Lease agreement for space at 77 Upper Rock Circle, Rockville, MD between BOF II MD 77 Upper Rock LLC and Aurinia Pharma U.S. Inc. dated March 12, 2020 | 10-K | 001-36421 | 10.6 | 02/24/21 |
| 10.9# | Cooperation Agreement, dated as of September 21, 2023, by and among MKT Capital Ltd., MKT Tactical Fund, SP, Antoine Khalife and Aurinia Pharmaceuticals Inc. | 8-K | 001-36421 | 10.1 | 09/21/23 |
| 10.10# | Softgel Commercial Supply Agreement between the Registrant and Catalent Pharma Solutions, LLC dated August 28, 2020 | 10-K | 001-36421 | 10.9 | 02/24/21 |
| 10.11 | Settlement Agreement among ILJIN Life Science Co. Ltd., Isotechnika Pharma Inc., and Aurinia Pharmaceuticals Inc., dated April 3, 2013 | 10-K | 001-36421 | 10.10 | 02/24/21 |
| 10.12+# | Employment Agreement between Aurinia Pharma U.S., Inc. and Peter Greenleaf dated April 11, 2019 | 10-K | 001-36421 | 10.11 | 02/24/21 |
| 10.13+# | Employment Agreement between Aurinia Pharma U.S. Inc. and Max Donley dated July 15, 2019 | 10-K | 001-36421 | 10.13 | 02/24/21 |
| 10.14+# | Employment Agreement between the Registrant and Michael Martin dated October 1, 2017 | 10-K | 001-36421 | 10.15 | 02/24/21 |
| 10.15+# | Employment Agreement between Aurinia Pharma U.S. Inc. and Joe Miller dated April 8, 2020 | 10-K | 001-36421 | 10.16 | 02/24/21 |
| 10.16+# | Employment Agreement between the Registrant and Stephen Robertson dated September 29, 2020 | 10-K | 001-36421 | 10.17 | 02/24/21 |
| 10.17+ | Form of Inducement Grant Option Commitment | 10-K | 001-36421 | 10.20 | 02/24/21 |
| 10.18+# | Employment Agreement between Aurinia U.S. Pharma Inc., and Volker Knappertz, M.D., dated July 11, 2022 | 10-Q | 001-36421 | 10.22 | 11/03/22 |
| 10.19+# | Employment Agreement between Aurinia U.S. Pharma Inc., and Scott Habig, dated June 27, 2022 | 10-Q | 001-36421 | 10.23 | 11/03/22 |
| 10.20+# | Form of Inducement Restricted Stock Unit Award | 10-K | 001-36421 | 10.20 | 02/28/23 |
| 10.21+# | Form of Restricted Stock Unit Award under the Equity Incentive Plan | 10-K | 001-36421 | 10.21 | 02/28/23 |
| 21.1* | List of Subsidiaries of Registrant | ||||
| 23.1* | Consent of PricewaterhouseCoopers LLP, Independent Registered Public Accounting Firm | ||||
| 24.1* | Power of Attorney (contained in signature page of this report) | ||||
| 31.1* | Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | ||||
| 31.2* | Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | ||||
| 32.1** | Certification of Chief Executive Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | ||||
| 32.2** | Certification of Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | ||||
| 97.1+* | Incentive Compensation Recoupment Policy | ||||
| 101.INS* | Inline XBRL Instance Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document | ||||
| 101.SCH* | Inline XBRL Taxonomy Extension Schema Document | ||||
| 101.CAL* | Inline XBRL Taxonomy Extension Calculation Linkbase Document | ||||
| 101.DEF* | Inline XBRL Taxonomy Extension Definition Linkbase Document | ||||
| 101.LAB* | Inline XBRL Taxonomy Extension Label Linkbase Document | ||||
| 101.PRE* | Inline XBRL Taxonomy Extension Presentation Linkbase Document | ||||
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) |
| * | Filed herewith. |
| ** | Furnished herewith. Exhibit 32.1 and Exhibit 32.2 are being furnished and shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liability of that section, nor shall such exhibit be deemed to be incorporated by reference in any registration statement or other document filed under the Securities Act of 1933, as amended, or the Exchange Act, except as otherwise specifically stated in such filing. |
| + | Indicates a management contract or compensatory plan. |
| # | Certain portions of this exhibit (indicated by asterisks) have been omitted pursuant to Item 601(b)(10)(iv) of Regulation S-K because they are not material and are the type that Aurinia treats as private or confidential. |
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