Filing Details

Accession Number:
0001209191-13-027420
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-05-17 20:01:20
Reporting Period:
2013-05-15
Filing Date:
2013-05-17
Accepted Time:
2013-05-17 20:01:20
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
858803 Avanir Pharmaceuticals Inc. AVNR Pharmaceutical Preparations (2834) 330314804
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1280154 Christine Ocampo 20 Enterprise, Suite 200
Aliso Viejo CA 92656
Vice President, Finance No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2013-05-15 20,000 $3.29 65,652 No 4 S Direct
Common Stock Acquisiton 2013-05-15 4,000 $0.88 69,652 No 4 M Direct
Common Stock Acquisiton 2013-05-15 15,000 $0.88 84,652 No 4 M Direct
Common Stock Acquisiton 2013-05-15 38,700 $0.88 123,352 No 4 M Direct
Common Stock Disposition 2013-05-15 57,700 $3.28 65,652 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (right to buy) Acquisiton 2013-05-15 4,000 $0.00 4,000 $0.88
Common Stock Stock Option (right to buy) Acquisiton 2013-05-15 15,000 $0.00 15,000 $0.88
Common Stock Stock Option (right to buy) Acquisiton 2013-05-15 38,700 $0.00 38,700 $0.88
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2018-07-25 No 4 M Direct
0 2018-07-25 No 4 M Direct
0 2018-07-25 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 3,000 Indirect By Individual Retirement Account
Common Stock 11,900 Indirect by spouse
Footnotes
  1. The sales reported on this Form 4 were effected pursuant to a trading plan adopted pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. A portion of the proceeds from the sale will be used to pay required tax withholdings due upon the vesting of Restricted Stock Units granted to the Reporting Person. Following the sales reported on this Form 4, the Reporting Person has a total of 220,194 options to purchase shares of common stock that are vested and immediately exercisable and a total of 154,856 options to purchase shares of common stock that have not yet vested. Following the sales reported on this Form 4, the Reporting Person also has 48,297 unvested Restricted Stock Units, of which 22,715 are performance-based Restricted Stock Units.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.22 to $3.38, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range.
  3. Includes previously reported shares of common stock underlying Restricted Stock Units granted to the Reporting Person, which are subject to certain vesting conditions.
  4. This option, representing a right to purchase a total of 16,000 shares, became exercisable with respect to 6.25% of the underlying shares on December 16, 2008 and with respect to 6.25% of the underlying shares on a quarterly basis for 15 quarters thereafter; this option is currently vested in full.
  5. This option, representing a right to purchase a total of 48,000 shares, became exercisable with respect to 6.25% of the underlying shares on March 13, 2009 and with respect to 6.25% of the underlying shares on a quarterly basis for 15 quarters thereafter; this option is currently vested in full.
  6. This option, representing a right to purchase a total of 103,200 shares, became exercisable with respect to 6.25% of the underlying shares on August 10, 2009 and with respect to 6.25% of the underlying shares on a quarterly basis for 15 quarters thereafter; this option is currently vested in full.