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Filing Details

Accession Number:: 0001209191-13-027421
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-05-17 20:02:33
Reporting Period:: 2013-05-15

Filing Date:: 2013-05-17
Accepted Time:: 2013-05-17 20:02:33
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
1314596	Keith Katkin	20 Enterprise, Suite 200 Aliso Viejo CA 92656	President And Ceo	Yes	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	35,000	$3.26	495,107	No	4	S	Direct
Common Stock	Acquisiton	2013-05-15	55,800	$0.53	550,907	No	4	M	Direct
Common Stock	Acquisiton	2013-05-15	159,638	$0.88	710,545	No	4	M	Direct
Common Stock	Disposition	2013-05-15	215,438	$3.26	495,107	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	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 Opton (right to buy)	Disposition	2013-05-15	55,800	$0.00	55,800	$0.53
Common Stock	Stock Opton (right to buy)	Disposition	2013-05-15	159,638	$0.00	159,638	$0.88

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		2018-12-16	No	4	M	Direct
53,212		2018-07-25	No	4	M	Direct

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 1,321,222 options to purchase shares of common stock that are vested and immediately exercisable and is Form 4, the Reporting Person has a total of 710,331 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 338,125 unvested Restricted Stock Units, of which 170,125 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 $3.20 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 446,400 shares, became exercisable with respect to one-quarter of the underlying shares upon the first anniversary of the grant date, and then with respect to the remaining shares quarterly thereafter over the next three years and is currently vested in full.
This option, representing a right to purchase a total of 425,700 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.