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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

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
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
No	4	S	Direct
No	4	M	Direct
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

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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

Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
2018-07-25	No	4	M	Direct
2018-07-25	No	4	M	Direct
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

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.
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.
Includes previously reported shares of common stock underlying Restricted Stock Units granted to the Reporting Person, which are subject to certain vesting conditions.
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.
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.
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.