0001209191-12-046187.txt : 20120919
0001209191-12-046187.hdr.sgml : 20120919
20120919163124
ACCESSION NUMBER: 0001209191-12-046187
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120917
FILED AS OF DATE: 20120919
DATE AS OF CHANGE: 20120919
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: OCAMPO CHRISTINE
CENTRAL INDEX KEY: 0001280154
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-15803
FILM NUMBER: 121100105
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: AVANIR PHARMACEUTICALS, INC.
CENTRAL INDEX KEY: 0000858803
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 330314804
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0930
BUSINESS ADDRESS:
STREET 1: 20 ENTERPRISE
STREET 2: SUITE 200
CITY: ALISO VIEJO
STATE: CA
ZIP: 92656
BUSINESS PHONE: 949-389-6700
MAIL ADDRESS:
STREET 1: 20 ENTERPRISE
STREET 2: SUITE 200
CITY: ALISO VIEJO
STATE: CA
ZIP: 92656
FORMER COMPANY:
FORMER CONFORMED NAME: AVANIR PHARMACEUTICALS
DATE OF NAME CHANGE: 19981207
FORMER COMPANY:
FORMER CONFORMED NAME: LIDAK PHARMACEUTICALS
DATE OF NAME CHANGE: 19920703
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2012-09-17
0
0000858803
AVANIR PHARMACEUTICALS, INC.
AVNR
0001280154
OCAMPO CHRISTINE
20 ENTERPRISE, SUITE 200
ALISO VIEJO
CA
92656
0
1
0
0
Vice President, Finance
Common Stock
2012-09-17
4
M
0
65000
0.53
A
123246
D
Common Stock
2012-09-17
4
S
0
65000
3.4896
D
58246
D
Common Stock
3000
I
By Individual Retirement Account
Common Stock
11900
I
By spouse
Employee Stock Option (right to buy)
0.53
2012-09-17
4
M
0
65000
0.00
D
2018-12-16
Common Stock
65000
65000
D
Includes previously reported shares of common stock underlying Restricted Stock Units granted to the Reporting Person, which are subject to certain vesting conditions.
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 191,057 options to purchase shares of common stock that are vested and immediately exercisable and 209,193 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 25,625 unvested Restricted Stock Units, of which 13,750 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 $3.41 to $3.58, 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 sold at each separate price within the range.
The Reporting Person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
This option, representing a right to purchase a total of 130,000 shares, became exercisable with respect to one-quarter of the underlying shares on December 18, 2009, which was the first anniversary of the date on which the option was granted. The remaining shares vest quarterly thereafter over the next three years.
/s/ Christine Ocampo
2012-09-18