Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
- Peter Lynch
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SECURITIES & EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2
(Amendment No. 2)*
Aurinia Pharmaceuticals Inc.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
05156V102
(CUSIP Number)
December 31, 2021
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
| ¨ | Rule 13d-1(b) |
| x | Rule 13d-1(c) |
| ¨ | Rule 13d-1(d) |
*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be "filed" for purposes of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
| CUSIP No. 05156V102 | 13G | Page 2 of 16 Pages |
| (1) | NAMES OF REPORTING PERSONS |
| HealthCor Management, L.P. | |
| (2) | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) |
| (a) ¨ | |
| (b) x | |
| (3) | SEC USE ONLY |
| (4) | CITIZENSHIP OR PLACE OF ORGANIZATION |
| Delaware | |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
(5) | SOLE VOTING POWER |
| 0 | ||
| (6) | SHARED VOTING POWER | |
0 | ||
| (7) | SOLE DISPOSITIVE POWER | |
| 0 | ||
| (8) | SHARED DISPOSITIVE POWER | |
0 |
| (9) | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |
0 | ||
| (10) | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions) | ¨ |
| (11) | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
0.0% | ||
| (12) | TYPE OF REPORTING PERSON (see instructions) | |
| PN | ||
| CUSIP No. 05156V102 | 13G | Page 3 of 16 Pages |
| (1) | NAMES OF REPORTING PERSONS |
| HealthCor Associates, LLC | |
| (2) | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) |
| (a) ¨ | |
| (b) x | |
| (3) | SEC USE ONLY |
| (4) | CITIZENSHIP OR PLACE OF ORGANIZATION |
| Delaware | |
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
(5) | SOLE VOTING POWER |
| 0 | ||
| (6) | SHARED VOTING POWER | |
0 | ||
| (7) | SOLE DISPOSITIVE POWER | |
| 0 | ||
| (8) | SHARED DISPOSITIVE POWER | |
0 |
| (9) | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |
0 | ||
| (10) | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions) | ¨ |
| (11) | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
0.0% | ||
| (12) | TYPE OF REPORTING PERSON (see instructions) | |
| OO - limited liability company | ||
| CUSIP No. 05156V102 | 13G | Page 4 of 16 Pages |
| (1) | NAMES OF REPORTING PERSONS |
| HealthCor Offshore Master Fund, L.P. | |
| (2) | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP(see instructions) |
| (a) ¨ | |
| (b) x | |
| (3) | SEC USE ONLY |
| (4) | CITIZENSHIP OR PLACE OF ORGANIZATION |
| Cayman Islands | |
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
(5) | SOLE VOTING POWER |
| 0 | ||
| (6) | SHARED VOTING POWER | |
0 | ||
| (7) | SOLE DISPOSITIVE POWER | |
| 0 | ||
| (8) | SHARED DISPOSITIVE POWER | |
0 |
| (9) | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |
0 | ||
| (10) | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions) |
¨ |
| (11) | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
0.0% | ||
| (12) | TYPE OF REPORTING PERSON (see instructions) | |
| PN | ||
| CUSIP No. 05156V102 | 13G | Page 5 of 16 Pages |
| (1) | NAMES OF REPORTING PERSONS |
| HealthCor Offshore GP, LLC | |
| (2) | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP(see instructions) |
| (a) ¨ | |
| (b) x | |
| (3) | SEC USE ONLY |
| (4) | CITIZENSHIP OR PLACE OF ORGANIZATION |
| Delaware | |
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
(5) | SOLE VOTING POWER |
| 0 | ||
| (6) | SHARED VOTING POWER | |
0 | ||
| (7) | SOLE DISPOSITIVE POWER | |
| 0 | ||
| (8) | SHARED DISPOSITIVE POWER | |
| 0 |
| (9) | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |
| 0 | ||
| (10) | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions) | ¨ |
| (11) | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
0.0% | ||
| (12) | TYPE OF REPORTING PERSON (see instructions) | |
| OO - limited liability company | ||
| CUSIP No. 05156V102 | 13G | Page 6 of 16 Pages |
| (1) | NAMES OF REPORTING PERSONS |
| HealthCor Group, LLC | |
| (2) | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP(see instructions) |
| (a) ¨ | |
| (b) x | |
| (3) | SEC USE ONLY |
| (4) | CITIZENSHIP OR PLACE OF ORGANIZATION |
| Delaware | |
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
(5) | SOLE VOTING POWER |
| 0 | ||
| (6) | SHARED VOTING POWER | |
0 | ||
| (7) | SOLE DISPOSITIVE POWER | |
| 0 | ||
| (8) | SHARED DISPOSITIVE POWER | |
0 |
| (9) | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |
0 | ||
| (10) | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions) | ¨ |
| (11) | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
0.0% | ||
| (12) | TYPE OF REPORTING PERSON (see instructions) | |
| OO - limited liability company | ||
| CUSIP No. 05156V102 | 13G | Page 7 of 16 Pages |
| (1) | NAMES OF REPORTING PERSONS |
| Arthur Cohen | |
| (2) | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) |
| (a) ¨ | |
| (b) x | |
| (3) | SEC USE ONLY |
| (4) | CITIZENSHIP OR PLACE OF ORGANIZATION |
| United States | |
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
(5) | SOLE VOTING POWER |
| 0 | ||
| (6) | SHARED VOTING POWER | |
0 | ||
| (7) | SOLE DISPOSITIVE POWER | |
| 0 | ||
| (8) | SHARED DISPOSITIVE POWER | |
|
0 |
| (9) | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |
|
0 | ||
| (10) | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions) | ¨ |
| (11) | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
0.0% | ||
| (12) | TYPE OF REPORTING PERSON (see instructions) | |
| IN | ||
| CUSIP No. 05156V102 | 13G | Page 8 of 16 Pages |
| (1) | NAMES OF REPORTING PERSONS |
| Joseph Healey | |
| (2) | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) |
| (a) ¨ | |
| (b) x | |
| (3) | SEC USE ONLY |
| (4) | CITIZENSHIP OR PLACE OF ORGANIZATION |
| United States | |
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
(5) | SOLE VOTING POWER |
| 0 | ||
| (6) | SHARED VOTING POWER | |
0 | ||
| (7) | SOLE DISPOSITIVE POWER | |
| 0 | ||
| (8) | SHARED DISPOSITIVE POWER | |
0 |
| (9) | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |
0 | ||
| (10) | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions) | ¨ |
| (11) | PERCENT OF CLASS REPRESEN TED BY AMOUNT IN ROW (9) | |
0.0% | ||
| (12) | TYPE OF REPORTING PERSON (see instructions) | |
| IN | ||
| CUSIP No. 05156V102 | 13G | Page 9 of 16 Pages |
| (1) | NAMES OF REPORTING PERSONS |
| HealthCor Sanatate Offshore Master Fund, L.P. | |
| (2) | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) |
| (a) ¨ | |
| (b) x | |
| (3) | SEC USE ONLY |
| (4) | CITIZENSHIP OR PLACE OF ORGANIZATION |
| Cayman Islands | |
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
(5) | SOLE VOTING POWER |
| 0 | ||
| (6) | SHARED VOTING POWER | |
0 | ||
| (7) | SOLE DISPOSITIVE POWER | |
| 0 | ||
| (8) | SHARED DISPOSITIVE POWER | |
0 |
| (9) | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |
0 | ||
| (10) | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions) | ¨ |
| (11) | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
0.0% | ||
| (12) | TYPE OF REPORTING PERSON (see instructions) | |
| PN | ||
| CUSIP No. 05156V102 | 13G | Page 10 of 16 Pages |
| (1) | NAMES OF REPORTING PERSONS |
HealthCor Offshore II GP, LLC | |
| (2) | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) |
| (a) ¨ | |
| (b) x | |
| (3) | SEC USE ONLY |
| (4) | CITIZENSHIP OR PLACE OF ORGANIZATION |
| Delaware | |
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
(5) | SOLE VOTING POWER |
| 0 | ||
| (6) | SHARED VOTING POWER | |
0 | ||
| (7) | SOLE DISPOSITIVE POWER | |
| 0 | ||
| (8) | SHARED DISPOSITIVE POWER | |
0 |
| (9) | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |
0 | ||
| (10) | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions) | ¨ |
| (11) | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
0.0% | ||
| (12) | TYPE OF REPORTING PERSON (see instructions) | |
| OO - limited liability company | ||
| CUSIP No. 05156V102 | 13G | Page 11 of 16 Pages |
| (1) | NAMES OF REPORTING PERSONS |
HealthCor Therapeutics Master Fund, L.P. | |
| (2) | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) |
| (a) ¨ | |
| (b) x | |
| (3) | SEC USE ONLY |
| (4) | CITIZENSHIP OR PLACE OF ORGANIZATION |
Cayman Islands | |
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
(5) | SOLE VOTING POWER |
| 0 | ||
| (6) | SHARED VOTING POWER | |
0 | ||
| (7) | SOLE DISPOSITIVE POWER | |
| 0 | ||
| (8) | SHARED DISPOSITIVE POWER | |
0 |
| (9) | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |
0 | ||
| (10) | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions) | ¨ |
| (11) | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
| 0.0% | ||
| (13) | TYPE OF REPORTING PERSON (see instructions) | |
| PN | ||
| CUSIP No. 05156V102 | 13G | Page 12 of 16 Pages |
| (1) | NAMES OF REPORTING PERSONS |
| HealthCor Therapeutics GP, LLC | |
| (2) | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) |
| (a) ¨ | |
| (b) x | |
| (3) | SEC USE ONLY |
| (4) | CITIZENSHIP OR PLACE OF ORGANIZATION |
| Delaware | |
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
(5) | SOLE VOTING POWER |
| 0 | ||
| (6) | SHARED VOTING POWER | |
0 | ||
| (7) | SOLE DISPOSITIVE POWER | |
| 0 | ||
| (8) | SHARED DISPOSITIVE POWER | |
0 |
| (9) | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |
0 | ||
| (10) | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions) | ¨ |
| (11) | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
| 0.0% | ||
| (13) | TYPE OF REPORTING PERSON (see instructions) | |
| OO - limited liability company | ||
| CUSIP No. 05156V102 | 13G | Page 13 of 16 Pages |
| Item 1(a). | Name of Issuer: |
Aurinia Pharmaceuticals Inc. |
| Item 1(b). | Address of Issuer's Principal Executive Offices: |
#1203-4464 Markham Street | |
Victoria, British Columbia | |
V8Z7X8 | |
| Item 2(a, b, c). | Name of Person Filing: |
| (i) HealthCor Management, L.P., a Delaware limited partnership, 55 Hudson Yards, 28th Floor, New York, NY 10001; | |
| (ii) HealthCor Associates, LLC, a Delaware limited liability company, 55 Hudson Yards, 28th Floor, New York, NY 10001; | |
| (iii) HealthCor Offshore Master Fund, L.P., a Cayman Islands limited partnership, 55 Hudson Yards, 28th Floor, New York, NY 10001; | |
| (iv) HealthCor Offshore GP, LLC, a Delaware limited liability company, 55 Hudson Yards, 28th Floor, New York, NY 10001; | |
| &# xA0; | |
| (v) HealthCor Group, LLC, a Delaware limited liability company, 55 Hudson Yards, 28th Floor, New York, NY 10001; | |
| (vi) Joseph Healey, 55 Hudson Yards, 28th Floor, New York, NY 10001; | |
| (vii) Arthur Cohen, 12 South Main Street, #203 Norwalk, CT 06854; | |
| (viii) HealthCor Sanatate Offshore Master Fund, L.P., a Cayman Islands limited partnership, 55 Hudson Yards, 28th Floor, New York, NY 10001; | |
| (ix) HealthCor Offshore II GP, LLC, a Delaware limited liability company, 55 Hudson Yards, 28th Floor, New York, NY 10001; | |
| (x) HealthCor Therapeutics Master Fund, L.P., a Cayman Islands limited partnership, 55 Hudson Yards, 28th Floor, New York, NY 10001; and | |
| (xi) HealthCor Therapeutics GP, LLC, a Delaware limited liability company, 55 Hudson Yards, 28th Floor, New York, NY 10001. | |
| Both Mr. Healey and Mr. Cohen are United States citizens. | |
| The persons at (i) through (xi) above are collectively referred to herein as the "Reporting Persons". |
| CUSIP No. 05156V102 | 13G | Page 14 of 16 Pages |
| Item 2(d). | Title of Class of Securities: Common Stock (the "Common Stock") |
| Item 2(e). | CUSIP Number: 05156V102 |
| Item 3. | Not applicable. |
| Item 4. | Ownership. |
The information required by Items 4(a) - (c) is set forth in Rows 5 - 11 of the cover page for each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person. | |
| Item 5. | Ownership of Five Percent or Less of a Class: |
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following x. | |
| Item 6. | Ownership of More than Five Percent on Behalf of Another Person. Not Applicable |
| Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. Not Applicable |
| Item 8. | Identification and Classification of Members of the Group. See Exhibit I. |
| Item 9. | Notice of Dissolution of Group. Not Applicable |
| Item 10. | Certification. |
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. | |
Exhibits: | |
| Exhibit I : | Joint Acquisition Statement |
| CUSIP No. 05156V102 | 13G | Page 15 of 16 Pages |
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
DATED: February 14, 2022
| HEALTHCOR MANAGEMENT, L.P. | ||
| By: HealthCor Associates, LLC, its general partner | ||
| /s/ Laurie Hadick | ||
| Name: Laurie Hadick | ||
| Title: Chief Compliance Officer | ||
| HEALTHCOR OFFSHORE GP, LLC, for itself and as general partner of behalf of HEALTHCOR OFFSHORE MASTER FUND, L.P. | ||
| By: HealthCor Group, LLC, its general partner | ||
| /s/ Laurie Hadick | ||
| Name: Laurie Hadick | ||
| Title: Chief Compliance Officer | ||
| CUSIP No. 05156V102 | 13G | Page 16 of 16 Pages |
| HEALTHCOR OFFSHORE II GP, LLC, for itself and as general partner of behalf of HEALTHCOR SANATATE OFFSHORE MASTER FUND, L.P. | ||
| By: HealthCor Group, LLC, its general partner | ||
| /s/ Laurie Hadick | ||
| Name: Laurie Hadick | ||
| Title: Chief Compliance Officer | ||
| HEALTHCOR THERAPEUTICS GP, LLC, for itself and as general partner of behalf of HEALTHCOR THERAPEUTICS MASTER FUND, L.P. | ||
| By: HealthCor Group, LLC, its general partner | ||
| /s/ Laurie Hadick | ||
| Name: Laurie Hadick | ||
| Title: Chief Compliance Officer | ||
| HEALTHCOR ASSOCIATES, LLC | ||
| /s/ Laurie Hadick | ||
| Name: Laurie Hadick | ||
| Title: Chief Compliance Officer | ||
| HEALTHCOR GROUP, LLC | ||
| /s/ Laurie Hadick | ||
| Name: Laurie Hadick | ||
| Title: Chief Compliance Officer | ||
| JOSEPH HEALEY, Individually | ||
| /s/ Joseph Healey | ||
| ARTHUR COHEN, Individually | ||
| /s/ Arthur Cohen | ||