Filing Details
- Accession Number:
- 0001209191-10-002754
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2010-01-11 12:00:00
- Reporting Period:
- 2010-01-04
- Filing Date:
- 2010-01-11
- Accepted Time:
- 2010-01-11 20:37:27
- Original Submission Date:
- 2010-01-05
- 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 | 101 Enterprise, Suite 300 Aliso Viejo CA 92656 | President And Ceo | Yes | 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 | 2010-01-04 | 46,685 | $1.97 | 458,487 | No | 4 | F | Direct | |
Common Stock | Disposition | 2010-01-04 | 4,872 | $1.97 | 453,615 | No | 4 | F | Direct | |
Common Stock | Disposition | 2010-01-04 | 900 | $1.88 | 452,715 | No | 4 | S | Direct | |
Common Stock | Disposition | 2010-01-04 | 2,600 | $1.90 | 450,115 | No | 4 | S | Direct | |
Common Stock | Disposition | 2010-01-04 | 15,000 | $1.90 | 435,115 | No | 4 | S | Direct | |
Common Stock | Disposition | 2010-01-04 | 1,500 | $1.91 | 433,615 | No | 4 | S | Direct | |
Common Stock | Disposition | 2010-01-05 | 925 | $1.93 | 432,690 | No | 4 | S | Direct | |
Common Stock | Disposition | 2010-01-05 | 3,100 | $1.93 | 429,590 | No | 4 | S | Direct | |
Common Stock | Disposition | 2010-01-05 | 100 | $1.93 | 429,490 | No | 4 | S | Direct | |
Common Stock | Disposition | 2010-01-05 | 900 | $1.94 | 428,590 | No | 4 | S | Direct | |
Common Stock | Disposition | 2010-01-05 | 2,000 | $1.94 | 426,590 | No | 4 | S | Direct | |
Common Stock | Disposition | 2010-01-05 | 2,000 | $1.96 | 424,590 | No | 4 | S | Direct | |
Common Stock | Disposition | 2010-01-05 | 6,000 | $1.96 | 418,590 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | F | Direct | |
No | 4 | F | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct |
Footnotes
- Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due upon the vesting of Restricted Stock Units granted to the Reporting Person under the Issuer's 2003 Equity Incentive Plan. The shares surrendered were valued based on the closing price of the Issuer's common stock on the vesting date.
- The number of shares surrendered to the Issuer by the Reporting Person was reported incorrectly on the Reporting Person's original Form 4. The Reporting Person had to surrender fewer shares than originally anticipated to cover the necessary withholding taxes.
- Includes previously reported shares of common stock underlying Restricted Stock Units granted to the Reporting Person, which are subject to certain vesting conditions.
- The total amount of securities beneficially owned by the Reporting Person is corrected in connection with the amendment shown on the first line of this Form 4.
- Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due upon the vesting of Restricted Stock Units granted to the Reporting Person under the Issuer's 2005 Equity Incentive Plan. The shares surrendered were valued based on the closing price of the Issuer's common stock on the vesting date.
- These shares were sold to cover estimated federal income taxes and capital gains taxes of the Reporting Person due upon the vesting of Restricted Stock Units in calendar 2010.