Filing Details
- Accession Number:
- 0000873303-10-000036
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-07-12 13:00:00
- Reporting Period:
- 2010-07-09
- Filing Date:
- 2010-07-12
- Accepted Time:
- 2010-07-12 14:18:34
- 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 |
---|---|---|---|---|---|---|---|
1321265 | Leslie Hudson | 3450 Monte Villa Parkway, Suite 101 Bothell WA 98021 | Former Ceo | No | Yes | No | Yes |
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 | 2010-07-09 | 150,000 | $1.09 | 534,559 | No | 4 | M | Direct | |
Common Stock | Disposition | 2010-07-09 | 2,000 | $1.56 | 532,559 | No | 4 | S | Direct | |
Common Stock | Disposition | 2010-07-09 | 4,000 | $1.55 | 528,559 | No | 4 | S | Direct | |
Common Stock | Disposition | 2010-07-09 | 136,300 | $1.57 | 392,259 | No | 4 | S | Direct | |
Common Stock | Disposition | 2010-07-09 | 7,700 | $1.58 | 384,559 | No | 4 | S | Direct | |
Common Stock | Acquisiton | 2010-07-09 | 50,000 | $1.09 | 434,559 | No | 4 | M | Direct | |
Common Stock | Disposition | 2010-07-09 | 2,500 | $1.63 | 432,059 | No | 4 | S | Direct | |
Common Stock | Disposition | 2010-07-09 | 10,000 | $1.62 | 422,059 | No | 4 | S | Direct | |
Common Stock | Disposition | 2010-07-09 | 37,500 | $1.61 | 384,559 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | M | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2010-07-09 | 150,000 | $0.00 | 150,000 | $1.09 |
Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2010-07-09 | 50,000 | $0.00 | 50,000 | $1.09 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
150,028 | 2009-02-08 | 2018-02-08 | No | 4 | M | Direct |
100,028 | 2009-02-08 | 2018-02-08 | No | 4 | M | Direct |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Incentive Stock Option (right to buy) | $1.09 | 2009-02-08 | 2018-02-08 | 366,972 | 366,972 | Direct |
Common Stock | Incentive Stock Option (right to buy) | $1.45 | 2011-02-09 | 2020-02-09 | 68,965 | 68,965 | Direct |
Common Stock | Non-Qualified Stock Option (right to buy) | $1.45 | 2011-02-09 | 2020-02-09 | 531,035 | 531,035 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2018-02-08 | 366,972 | 366,972 | Direct |
2020-02-09 | 68,965 | 68,965 | Direct |
2020-02-09 | 531,035 | 531,035 | Direct |
Footnotes
- This transaction is a part of a Same Day Sale Transaction. The optionholder exercised his options and sold the shares on the same day.
- This option originally vested 25% annually over 4 years. On 4/20/2010, there were 150,014 vested options and the Company accelerated the remaining unvested 150,014 shares.
- Option Grant vests 25% per year on grant date with all shares vesting four years from date of grant.
- The Stock Option Grant vest as follows: 1/3 vest one year from date of grant and 1/3 each year thereafter until all shares vest three years from grant date.