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