Stock Institutional Ownership and Shareholders

SecurityAUPH / Aurinia Pharmaceuticals Inc (05156V102)
Institutional Owners67
Institutional Shares28,535,634
Institutional Value$ 147,877,000 USD

Aurinia Pharmaceuticals Inc (NASDAQ:AUPH) has 67 institutional investors and shareholders that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 28,535,634 shares. Largest shareholders include FMR LLC / Fidelity, Duggan Robert W, NEA Management Company, LLC, Orbimed Advisors Llc, Polar Capital LLP, Franklin Resources Inc, Vivo Capital, LLC, Goldman Sachs Group Inc, Alyeska Investment Group, L.P., and Morgan Stanley.



Aurinia Pharmaceuticals Inc (NASDAQ:AUPH) ownership summary shows current positions in the company by institutions and funds, as well as latest changes in position size. Major shareholders can include individual investors, mutual funds, hedge funds, or institutions. The Schedule 13D indicates that the investor holds more than 5% of the company and intends to actively pursue a change in business strategy. Schedule 13G indicates a passive investment of over 5%. Green rows indicate new positions. Red rows indicate closed positions. Click the link icon to see the full transaction history.

File DateFormInvestor Opt Prev Shares Current Shares Change
(Percent)
Prev Value (x$1000) Current Value (x$1000) Change
(Percent)
2018-01-16 13F-HR BANK OF MONTREAL /CAN/ 127,312 92,460 -27.38 798 419 -47.49
2017-11-13 13F-HR CITIGROUP INC 3,000 3,000 0.00 18 19 5.56
2017-11-14 13F-HR GEODE CAPITAL MANAGEMENT, LLC 24,941 24,941 0.00 152 156 2.63
2017-11-13 13F-HR CAPTRUST FINANCIAL ADVISORS 10,000 0 -100.00 61 0 -100.00
2017-10-26 13F-HR Raymond James Financial Services Advisors, Inc. Call 34,400 0 -100.00 3 0 -100.00
2017-11-14 13F-HR GOLDMAN SACHS GROUP INC 876,461 874,911 -0.18 5,373 5,486 2.10
2017-07-31 13F-HR IFP Advisors, Inc 1,000 0 -100.00 7 0 -100.00
2017-08-14 13F-HR HIGHLAND CAPITAL MANAGEMENT LP 200,000 0 -100.00 1,468 0 -100.00
2017-11-07 13F-HR AMERIPRISE FINANCIAL INC 151,468 211,569 39.68 928 1,327 43.00
2017-08-09 13F-HR Hikari Power Ltd 60,000 0 -100.00 440 0 -100.00
2017-11-03 13F-HR ALPS ADVISORS INC 74,107 82,163 10.87 454 515 13.44
2017-11-14 13F-HR Redmile Group, LLC 332,310 332,310 0.00 2,037 2,084 2.31
2017-11-03 13F-HR Candriam Luxembourg S.C.A. 118,000 118,000 0.00 723 740 2.35
2017-11-14 13F-HR ROYAL BANK OF CANADA 16,968 16,501 -2.75 104 104 0.00
2017-08-10 13F-HR Crawford Lake Capital Management, LLC Put 40,800 0 -100.00 292 0 -100.00
2017-10-26 13F-HR Raymond James Financial Services Advisors, Inc. 37,400 38,900 4.01 229 244 6.55
2018-01-16 13F-HR BANK OF MONTREAL /CAN/ Put 30,000 0 -100.00 188 0 -100.00
2017-08-14 13F-HR Frigate Ventures LP 29,900 0 -100.00 250 0 -100.00
2017-11-13 13F-HR Oz Management LP 189,900 185,100 -2.53 1,164 1,161 -0.26
2017-11-14 13F-HR MORGAN STANLEY 563,293 571,552 1.47 3,453 3,585 3.82
2017-11-13 13F-HR Vivo Capital, LLC 1,013,149 1,213,290 19.75 6,211 7,607 22.48
2017-11-14 13F-HR JANE STREET GROUP, LLC 0 10,041 0 63
2017-11-13 13F-HR Hudson Bay Capital Management LP 350,000 375,000 7.14 2,146 2,351 9.55
2017-11-14 13F-HR Kazazian Asset Management, LLC 66,304 139,937 111.05 406 877 116.01
2017-11-14 13F-HR ORBIMED ADVISORS LLC 1,797,400 1,797,400 0.00 11,018 11,270 2.29
2017-11-14 13F-HR BARCLAYS PLC 2,800 19,100 582.14 17 120 605.88
2017-11-06 13F-HR Advisor Group, Inc. 500 500 0.00 3 3 0.00
2017-11-01 13F-HR/A-1 Financial Architects, Inc 2,300 2,800 21.74 14 18 28.57
2017-10-20 13F-HR OTA Financial Group L.P. 175,934 175,934 0.00 1,291 1,291 0.00
2017-08-14 13F-HR TWO SIGMA INVESTMENTS LLC 548,771 0 -100.00 4,028 0 -100.00
2017-10-19 13F-HR STATE TREASURER STATE OF MICHIGAN 22,500 22,500 0.00 138 141 2.17
2017-11-13 13F-HR INVESTMENT CENTERS OF AMERICA INC 30,000 60,000 100.00 184 376 104.35
2017-11-14 13F-HR Abingworth LLP 252,129 252,129 0.00 1,543 1,581 2.46
2017-11-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Call 226,600 138,400 -38.92 1,389 868 -37.51
2017-08-11 13F-HR ACUTA CAPITAL PARTNERS, LLC 400,000 0 -100.00 2,936 0 -100.00
2018-01-17 13F-HR Cutler Group LP Put 25,300 2,300 -90.91 60 1 -98.33
2017-10-23 SC 13D/A DUGGAN ROBERT W 5,766,887 4,912,284 -14.82
2017-11-13 13F-HR Noven Financial Group, Inc. 14,000 88
2018-01-17 13F-HR Creative Planning 150,200 150,200 0.00 942 683 -27.49
2017-08-14 13F-HR Iguana Healthcare Management, LLC 75,000 0 -100.00 551 0 -100.00
2017-08-14 13F-HR TWO SIGMA SECURITIES, LLC 32,652 0 -100.00 240 0 -100.00
2017-11-13 13F-HR Renaissance Technologies LLC 71,001 58,301 -17.89 435 366 -15.86
2017-11-13 13F-HR Private Advisor Group, LLC 10,000 0 -100.00 62 0 -100.00
2017-11-13 13F-HR INFRASTRUCTURE CAPITAL ADVISORS, LLC 16,628 0 -100.00 102 0 -100.00
2017-11-13 13F-HR FRANKLIN RESOURCES INC 1,250,000 1,250,000 0.00 7,663 7,838 2.28
2017-11-14 13F-HR Alyeska Investment Group, L.P. 669,346 681,517 1.82 4,103 4,273 4.14
2017-11-14 13F-HR DEUTSCHE BANK AG\ 50,500 53,652 6.24 309 335 8.41
2018-01-10 13F-HR SIMPLEX TRADING, LLC 0 3,073 0 13
2017-11-15 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC 2,200 700 -68.18 13 4 -69.23
2018-01-17 13F-HR Cutler Group LP Call 66,900 4,600 -93.12 27 1 -96.30
2017-11-09 13F-HR CITADEL ADVISORS LLC 73,270 11,900 -83.76 449 75 -83.30
2017-11-14 13F-HR AWM Investment Company, Inc. 352,500 352,500 0.00 2,161 2,210 2.27
2017-11-14 13F-HR UBS Group AG 98,540 92,835 -5.79 604 582 -3.64
2017-08-14 13F-HR GOLDMAN SACHS GROUP INC Put 155,000 0 -100.00 1,138 0 -100.00
2017-08-10 13F-HR Crawford Lake Capital Management, LLC Call 90,800 0 -100.00 649 0 -100.00
2017-08-14 13F-HR CREDIT AGRICOLE S A 57,103 0 -100.00 1,393 0 -100.00
2017-11-09 13F-HR CITADEL ADVISORS LLC Call 119,100 91,100 -23.51 730 571 -21.78
2017-11-14 13F-HR Crawford Lake Capital Management, LLC 455,369 455,656 0.06 2,791 2,857 2.36
2017-11-14 13F-HR BROWN BROTHERS HARRIMAN & CO 6,500 6,500 0.00 40 41 2.50
2018-01-17 13F-HR Cutler Group LP 5,300 2,500 -52.83 33 11 -66.67
2017-08-11 13F-HR Quantbot Technologies LP 37,554 0 -100.00 275 0 -100.00
2017-11-06 13F-HR NTV ASSET MANAGEMENT LLC 15,000 94
2017-11-06 13F-HR Bank of New York Mellon Corp 81,950 0 -100.00 502 0 -100.00
2017-11-15 13F-HR GROUP ONE TRADING, L.P. Call 47,000 7,000 -85.11 288 44 -84.72
2017-11-09 13F-HR WELLS FARGO & COMPANY/MN 200 26,595 13,197.50 1 166 16,500.00
2017-10-26 13F-HR Raymond James Financial Services Advisors, Inc. Put 49,000 63,500 29.59 155 176 13.55
2017-11-13 13F-HR Cutler Capital Management, LLC 30,000 40,000 33.33 184 251 36.41
2017-11-14 13F-HR FIFTH THIRD BANCORP 2,000 2,000 0.00 12 13 8.33
2017-08-14 13F-HR GREAT POINT PARTNERS LLC 1,000,000 0 -100.00 7,340 0 -100.00
2017-11-03 13F-HR NEA Management Company, LLC 4,808,483 4,808,483 0.00 29,476 30,149 2.28
2017-10-18 13F-HR HOWE & RUSLING INC 454 454 0.00 3 3 0.00
2017-11-14 13F-HR BOOTHBAY FUND MANAGEMENT, LLC 0 12,726 0 80
2017-11-09 13F-HR CITADEL ADVISORS LLC Put 81,300 87,100 7.13 498 546 9.64
2017-11-14 13F-HR Tower Research Capital LLC (TRC) 2,500 2,500 0.00 20 20 0.00
2017-08-01 13F-HR TD ASSET MANAGEMENT INC 32,887 0 -100.00 241 0 -100.00
2017-11-13 13F-HR FMR LLC / Fidelity 5,867,800 5,838,831 -0.49 35,969 36,610 1.78
2017-11-13 13F-HR LEVIN CAPITAL STRATEGIES, L.P. 10,000 63
2017-10-24 13F-HR TRUST CO OF VERMONT 1,000 6
2017-11-14 13F-HR Parallax Volatility Advisers, L.P. Call 75,100 0 -100.00 460 0 -100.00
2017-11-14 13F-HR MILLENNIUM MANAGEMENT LLC 33,099 39,700 19.94 203 249 22.66
2017-11-01 13F-HR IRONWOOD INVESTMENT MANAGEMENT LLC 159,092 192,177 20.80 975 1,205 23.59
2017-11-09 13F-HR FNY Partners Fund LP 3,000 3,000 0.00 18 18 0.00
2017-11-13 13F-HR RAYMOND JAMES & ASSOCIATES 29,000 0 -100.00 178 0 -100.00
2017-11-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP 255,633 307,676 20.36 1,567 1,929 23.10
2017-11-14 13F-HR BANK OF AMERICA CORP /DE/ 300 100 -66.67 2 1 -50.00
2017-08-10 13F-HR HAP Trading, LLC Put 143,700 0 -100.00 10 0 -100.00
2017-08-14 13F-HR LPL Financial LLC 30,002 0 -100.00 209 0 -100.00
2017-08-14 13F-HR VOLORIDGE INVESTMENT MANAGEMENT, LLC 251,475 0 -100.00 1,846 0 -100.00
2017-11-14 13F-HR PEAK6 Investments, L.P. Call 101,000 633
2017-11-13 13F-HR Oz Management LP Put 194,700 189,900 -2.47 1,194 1,191 -0.25
2017-11-13 13F-HR Nicholas Investment Partners, LP 254,084 0 -100.00 1,557 0 -100.00
2017-11-15 13F-HR/A-1 Parallel Advisors, LLC 5,000 2,000 -60.00 32 11 -65.62
2017-08-11 13F-HR KCG HOLDINGS, INC. 104,946 40,460 -61.45 770 248 -67.79
2017-11-14 13F-HR BALYASNY ASSET MANAGEMENT LLC 500,000 500,000 0.00 3,065 3,135 2.28
2017-11-14 13F-HR HighTower Advisors, LLC 4,000 0 -100.00 25 0 -100.00
2017-11-08 13F-HR HAP Trading, LLC Call 10,000 0 -100.00 9 0 -100.00
2017-11-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Put 240,300 205,400 -14.52 1,473 1,288 -12.56
2017-11-09 13F-HR K2 PRINCIPAL FUND, L.P. Put 36,900 231
2017-11-14 13F-HR Parallax Volatility Advisers, L.P. Put 50,000 50,000 0.00 307 314 2.28
2017-11-15 13F-HR GROUP ONE TRADING, L.P. 235,467 261,863 11.21 1,443 1,642 13.79
2017-11-14 13F-HR Parallax Volatility Advisers, L.P. 18,751 49,702 165.06 115 312 171.30
2017-08-14 13F-HR PRICE T ROWE ASSOCIATES INC /MD/ 751,300 0 -100.00 5,515 0 -100.00
2017-08-31 13F-HR/A-1 UBS OCONNOR LLC 400,000 0 -100.00 2,936,000 0 -100.00
2017-11-14 13F-HR HighTower Advisors, LLC Call 15,000 0 -100.00 1 0 -100.00
2017-11-13 13F-HR Pacad Investment Ltd. 25,900 4,600 -82.24 159 29 -81.76
2017-10-30 13F-HR THOMPSON DAVIS & CO., INC. 250 2
2017-11-06 13F-HR NEW YORK STATE COMMON RETIREMENT FUND 27,234 0 -100.00 167 0 -100.00
2017-11-15 13F-HR GROUP ONE TRADING, L.P. Put 240,700 249,200 3.53 1,475 1,562 5.90
2017-11-17 13F-HR/A-1 Virtu Financial LLC 37,009 232
2017-11-14 13F-HR A.R.T. Advisors, LLC 97,600 0 -100.00 598 0 -100.00
2017-11-14 13F-HR TWO SIGMA ADVISERS, LP 46,600 55,500 19.10 286 348 21.68
2017-11-14 13F-HR Polar Capital LLP 1,183,272 1,618,352 36.77 7,253 10,147 39.90

Stock Research Report

Aurinia is a clinical stage biopharmaceutical company with its head office located at #1203-4464 Markham Street, Victoria, British Columbia V8Z 7X8 where clinical, regulatory and business development functions of the Company are conducted. Aurinia has its registered office located at #201, 17904-105 Avenue, Edmonton, Alberta T5S 2H5 where the finance function is performed. The office of the CEO is located in Bellevue, Washington.

Aurinia is organized under the Business Corporations Act (Alberta). Aurinia’s By-Law No. 2 was amended at a shareholder’s meeting held on August 15, 2013 to include provisions requiring advance notice for any nominations of directors by shareholders.

Aurinia’s Common Shares are currently listed and traded on the NASDAQ under the symbol “AUPH” and on the TSX under the symbol “AUP”. The Company’s primary business is the development of a therapeutic drug to treat autoimmune diseases, in particular LN.

Aurinia has the following wholly-owned subsidiaries: ...

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CUSIP: 05156V102