SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
Vivo Ventures Fund VI, L.P.

(Last) (First) (Middle)
575 HIGH STREET, SUITE 201

(Street)
PALO ALTO CA 94301

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
04/04/2008
3. Issuer Name and Ticker or Trading Symbol
AVANIR PHARMACEUTICALS, INC. [ AVNR ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 8,743,169(1) D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Common Stock Warrant (right to buy) 04/04/2008 04/04/2013 Common Stock 3,060,109(1) $1.43 D
1. Name and Address of Reporting Person*
Vivo Ventures Fund VI, L.P.

(Last) (First) (Middle)
575 HIGH STREET, SUITE 201

(Street)
PALO ALTO CA 94301

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
1. Name and Address of Reporting Person*
Vivo Ventures VI, LLC

(Last) (First) (Middle)
575 HIGH STREET, SUITE 201

(Street)
PALO ALTO CA 94301

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
Explanation of Responses:
1. Vivo Ventures Fund VI, L.P., a Delaware limited partnership ("Vivo Fund") and Vivo Ventures VI, LLC, a California limited liability company ("Vivo Ventures"), hereby make this filing with respect to certain shares of common stock of Avanir Pharmaceuticals, Inc. ("Issuer") deemed beneficially owned. Vivo Fund and Vivo Ventures are each sometimes referred to herein as a Reporting Person and, collectively, referred to as the Reporting Persons.
Remarks:
Vivo Ventures is the general partner of both Vivo Fund and Vivo Ventures VI Affiliates Fund L.P., a Delaware limited partnership ("Affiliates Fund"); Vivo Ventures may be deemed to have indirect beneficial ownership of shares of the Issuer directly owned by Vivo Fund and Affiliates Fund. As of the date of this filing, Vivo Fund and Affiliates Fund beneficially owned 11,717,436 and 85,842 shares of common stock of the Issuer, respectively, which included 3,037,854 and 22,255 shares, respectively, issuable upon the exercise of warrants that were exercisable within 60 days. Vivo Ventures disclaims beneficial ownership of the shares of the Issuer held by each of Vivo Fund and Affiliates Fund, except to the extent of Vivo Venture's pecuniary interest therein. Dr. Frank Kung, Dr. Albert Cha and Dr. Edgar Engleman are the sole members of Vivo Ventures. Because voting and disposition decisions relating to securities controlled by Vivo Ventures requires the approval of a majority of the members, none of the individual members is deemed to beneficially own securities beneficially owned by Vivo Ventures.
Albert Cha, M.D., Ph.D., as Managing Member of Vivo Ventures VI, LLC, general partner of Vivo Ventures Fund VI, L.P. 08/03/2009
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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