Filing Details
- Accession Number:
- 0001104659-10-029311
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-05-18 13:00:00
- Reporting Period:
- 2010-05-17
- Filing Date:
- 2010-05-18
- Accepted Time:
- 2010-05-18 14:53:26
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
873303 | Avi Biopharma Inc | AVII | Pharmaceutical Preparations (2834) | 930797222 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1223756 | R Anthony Chase | 3450 Monte Villa Parkway, Suite 101 Bothell WA 98021 | 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 | Acquisiton | 2010-05-17 | 18,539 | $1.41 | 283,899 | No | 4 | P | Direct | |
Common Stock | Acquisiton | 2010-05-18 | 500 | $1.41 | 284,399 | No | 4 | P | Direct | |
Common Stock | Acquisiton | 2010-05-18 | 10,568 | $1.44 | 294,967 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct | |
No | 4 | P | Direct | |
No | 4 | P | Direct |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Common Stock Purchase Warrants | $1.78 | 2010-02-25 | 2014-08-25 | 140,000 | 350,000 | Direct |
Common Stock | Non-Qualified Stock Option (right to buy) | $1.24 | 2011-04-20 | 2020-04-20 | 60,000 | 60,000 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2014-08-25 | 140,000 | 350,000 | Direct |
2020-04-20 | 60,000 | 60,000 | Direct |
Footnotes
- Mr. Chase holds 350,000 warrants to purchase common stock. Each warrant can be exercised to purchase 4/10 (or 0.4) of a share of common stock. Thus, Mr. Chase's 350,000 warrants are exercisable to purchase 140,000 shares of common stock at $1.78 per share.
- Such options shall have a four-year vesting period commencing on the Grant Date, 1/4th of the shares vest and become exercisable on the earlier of one year after the Grant Date or the commencement of the next succeeding annual meeting of shareholders; 1/4th of the shares vest and become exercisable on the earlier of two years after the Grant Date or the commencement of the next succeeding annual meeting of shareholders, 1/4th of the shares vest and become exercisable on the earlier of three years after the Grant Date or the commencement of the next succeeding annual meeting of shareholders and 1/4th of the shares vest and become exercisable on the earlier of four years after the Grant Date or the commencement of the next succeeding annual meeting of shareholders.