Filing Details
- Accession Number:
- 0001209191-10-042615
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-08-13 13:00:00
- Reporting Period:
- 2010-08-11
- Filing Date:
- 2010-08-13
- Accepted Time:
- 2010-08-13 18:27:34
- 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 | 101 Enterprise, Suite 300 Aliso Viejo CA 92656 | Vice President, Finance | No | 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 | Acquisiton | 2010-08-11 | 16,250 | $1.20 | 58,232 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2010-08-11 | 12,000 | $0.88 | 70,232 | No | 4 | M | Direct | |
Common Stock | Disposition | 2010-08-11 | 15,669 | $3.11 | 54,563 | No | 4 | S | Direct | |
Common Stock | Disposition | 2010-08-11 | 12,581 | $3.10 | 41,982 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | M | 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 | Stock Option (right to buy) | Disposition | 2010-08-11 | 16,250 | $0.00 | 16,250 | $1.20 |
Common Stock | Stock Option (right to buy) | Disposition | 2010-08-11 | 12,000 | $0.00 | 12,000 | $0.88 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
3,750 | 2017-03-29 | No | 4 | M | Direct | |
36,000 | 2018-07-25 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 11,900 | Indirect | By spouse |
Footnotes
- Includes previously reported shares of common stock underlying Restricted Stock Units granted to the Reporting Person, which are subject to certain vesting conditions.
- The proceeds from such sales were used in part to pay required tax withholdings due upon vesting of restricted stock units previously granted to the Reporting Person.
- These shares are held by the Reporting Person's spouse, which are deemed beneficially owned by the Reporting Person.
- Options vest in accordance with the following schedule: 25% of the shares on the first anniversary of the date of grant, which was March 29, 2007, and with respect to an additional 6.25% of the Shares quarterly thereafter for the next three years.
- The options to purchase 48,000 shares of Common Stock were granted upon the achievement of certain performance goals relating to the clinical development of Zenvia. Upon achievement of the performance goals, the option vested with respect to 6.25% of the underlying shares and will continue to vest with respect to 6.25% of the underlying shares on a quarterly basis over 15 quarters.