Filing Details

Accession Number:
0001019687-10-000091
Form Type:
4
Zero Holdings:
No
Publication Time:
2010-01-11 12:00:00
Reporting Period:
2010-01-07
Filing Date:
2010-01-11
Accepted Time:
2010-01-11 14:37:30
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
704562 Peregrine Pharmaceuticals Inc PPHM In Vitro & In Vivo Diagnostic Substances (2835) 953698422
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1244108 S Eric Swartz C/O Peregrine Pharmaceuticals, Inc.
14282 Franklin Avenue
Tustin CA 92780
Yes No 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, $.001 Par Value Acquisiton 2010-01-07 376 $2.77 376 No 4 P Indirect By Highlight Fund, LLC
Common Stock, $.001 Par Value Acquisiton 2010-01-07 4,000 $2.77 4,376 No 4 P Indirect By Highlight Fund, LLC
Common Stock, $.001 Par Value Acquisiton 2010-01-07 1,340 $2.95 5,716 No 4 P Indirect By Highlight Fund, LLC
Common Stock, $.001 Par Value Acquisiton 2010-01-07 1,160 $2.95 6,876 No 4 P Indirect By Highlight Fund, LLC
Common Stock, $.001 Par Value Acquisiton 2010-01-07 2,000 $2.96 8,876 No 4 P Indirect By Highlight Fund, LLC
Common Stock, $.001 Par Value Acquisiton 2010-01-07 8,600 $2.98 17,476 No 4 P Indirect By Highlight Fund, LLC
Common Stock, $.001 Par Value Acquisiton 2010-01-07 1,560 $3.02 19,036 No 4 P Indirect By Highlight Fund, LLC
Common Stock, $.001 Par Value Acquisiton 2010-01-07 964 $3.02 20,000 No 4 P Indirect By Highlight Fund, LLC
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By Highlight Fund, LLC
No 4 P Indirect By Highlight Fund, LLC
No 4 P Indirect By Highlight Fund, LLC
No 4 P Indirect By Highlight Fund, LLC
No 4 P Indirect By Highlight Fund, LLC
No 4 P Indirect By Highlight Fund, LLC
No 4 P Indirect By Highlight Fund, LLC
No 4 P Indirect By Highlight Fund, LLC
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock, $.001 Par Value 438,379 Direct
Common Stock, $.001 Par Value 107,739 Indirect By Swartz Ventures, Inc.
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Non-Qualified Stock Option (right to buy) $0.00 190,000 190,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
190,000 190,000 Direct
Footnotes
  1. Includes 52,978 shares held in an Individual Retirement Account (IRA) for the benefit of Eric S. Swartz.
  2. N/A