Filing Details

Accession Number:
0001209191-13-058259
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-12-20 17:26:50
Reporting Period:
2013-12-18
Filing Date:
2013-12-20
Accepted Time:
2013-12-20 17:26:50
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 2013-12-18 2,450 $2.63 63,202 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S 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. The proceeds from the sales will be used to pay required withholdings due by the Reporting Person upon the vesting of 390 and 5,322 Restricted Stock Units on December 15, 2013 and December 17, 2013, respectively. Following the sales reported on this Form 4, the Reporting Person has a total of 287,550 options to purchase shares of common stock that are vested and immediately exercisable and a total of 104,750 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 81,881 unvested Restricted Stock Units, of which 15,050 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 $2.63 to $2.6312, 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 sold 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.