-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, SXoeimuCZ8wMqyuOVQ8ixchaTd+ommfxJ9EDHkzw5q30ekIaUSk0MGoaouXB5HA2 i8zgPIqH0hiHzW4pJ6zvqA== 0000936392-02-001424.txt : 20021114 0000936392-02-001424.hdr.sgml : 20021114 20021114153846 ACCESSION NUMBER: 0000936392-02-001424 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021113 FILED AS OF DATE: 20021114 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AVANIR PHARMACEUTICALS CENTRAL INDEX KEY: 0000858803 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 330314804 STATE OF INCORPORATION: CA FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15803 FILM NUMBER: 02824987 BUSINESS ADDRESS: STREET 1: 9393 TOWNE CENTRE DR STREET 2: STE 200 CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 8584102600 MAIL ADDRESS: STREET 1: 9393 TOWN CENTRE DRIVE STREET 2: SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92121 FORMER COMPANY: FORMER CONFORMED NAME: LIDAK PHARMACEUTICALS DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: BERG JAMES E CENTRAL INDEX KEY: 0001186145 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: AVANIR PHARMACEUTICALS STREET 2: 11388 SORRENTO VALLEY ROAD STE 200 CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 8586225203 MAIL ADDRESS: STREET 1: AVANIR PHARMACEUTICALS STREET 2: 11388 SORRENTO VALLEY ROAD STE 200 CITY: SAN DIEGO STATE: CA ZIP: 92121 4 1 a86055e4.txt FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. 1. Name and Address of Reporting Person(s) Berg, James E. 11388 Sorrento Valley Road, Suite 200 San Diego, CA 92121 2. Issuer Name and Ticker or Trading Symbol AVANIR Pharmaceuticals (AVN) 3. I.R.S. Identification Number of Reporting Person, if an entity (Voluntary) 4. Statement for Month/Year 11/02 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [X] Officer (give title below) [ ] Other (specify below) Vice President, Clinical Affairs & Product Development 7. Individual or Joint/Group Filing (Check Applicable Line) [X] Form filed by One Reporting Person [ ] Form filed by More than One Reporting Person
Table I Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned - ------------------------------------------------------------------------------------------------------------------------------------ 1)Title of Security 2)Trans- 3.Trans- 4.Securities Acquired(A) 5)Amount of 6) 7)Nature of action action or Disposed of (D) Securities Indirect Date Code A Beneficially D Beneficial (Month/ or Owned at or Ownership Day/Year) Code V Amount D Price End of Month I - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock 11/13/02 X (1) 24,000 A $1.0625 41,000 D Direct Table II (PART 1) Derivative Securities Acquired, Disposed of, or Beneficially Owned (Columns 1 through 6) - ------------------------------------------------------------------------------------------------------------------------------------ 1)Title of Derivative 2)Conversion 3)Trans- 4)Trans- 5)Number of Derivative 6)Date Exercisable and Security or Exercise action action Securities Acquired (A) Expiration Date Price of Date Code or Disposed of (D) Derivative Security Code V A D Exercisable Expiration - ------------------------------------------------------------------------------------------------------------------------------------ Incentive Stock Option (right $0.7200 02/19/09 to buy) Incentive Stock Option (right $0.3000 02/19/09 to buy) Incentive Stock Option (right $1.0625 11/13/02 X (1) 24,000 (2) 11/14/02 to buy) Incentive Stock Option (right $1.2800 07/10/08 to buy) Incentive Stock Option (right $1.4688 11/09/06 to buy) Incentive Stock Option (right $2.2500 03/15/97 03/15/07 to buy) Incentive Stock Option (right $2.5000 05/21/04 to buy) Incentive Stock Option (right $2.5000 03/16/06 to buy) Incentive Stock Option (right $3.2900 03/14/12 to buy) Incentive Stock Option (right $6.4375 09/16/05 to buy) Non-Qualified Stock Option $1.5500 02/19/09 (right to buy) Non-Qualified Stock Option $2.4701 03/10/10 (right to buy) Non-Qualified Stock Option $2.7500 07/17/03 (right to buy) Non-Qualified Stock Option $3.5700 03/15/01 03/15/11 (right to buy) Table II (PART 2) Derivative Securities Acquired, Disposed of, or Beneficially Owned (Columns 1,3 and 7 through 11) - ------------------------------------------------------------------------------------------------------------------------------------ 1)Title of Derivative 3)Trans- 7)Title and Amount 8)Price 9)Number of 10) 11)Nature of Security action of Underlying of Deri- Derivative Indirect Date Securities vative Securities D Beneficial Amount or Security Beneficially or Ownership Number of Owned at I - Title Shares End of Month - ------------------------------------------------------------------------------------------------------------------------------------ Incentive Stock Option (right Class A Common Stock 150,000 150,000 D Direct to buy) Incentive Stock Option (right Class A Common Stock 8,000 8,000 D Direct to buy) Incentive Stock Option (right 11/13/02 Class A Common Stock 24,000 0 D Direct to buy) Incentive Stock Option (right Class A Common Stock 25,000 25,000 D Direct to buy) Incentive Stock Option (right Class A Common Stock 10,000 10,000 D Direct to buy) Incentive Stock Option (right Class A Common Stock 15,000 15,000 D Direct to buy) Incentive Stock Option (right Class A Common Stock 8,000 8,000 D Direct to buy) Incentive Stock Option (right Class A Common Stock 3,000 3,000 D Direct to buy) Incentive Stock Option (right Class A Common Stock 50,000 50,000 D Direct to buy) Incentive Stock Option (right Class A Common Stock 1,000 1,000 D Direct to buy) Non-Qualified Stock Option Class A Common Stock 50,000 50,000 D Direct (right to buy) Non-Qualified Stock Option Class A Common Stock 75,000 75,000 D Direct (right to buy) Non-Qualified Stock Option Class A Common Stock 36,000 36,000 D Direct (right to buy) Non-Qualified Stock Option Class A Common Stock 50,000 50,000 D Direct (right to buy) Explanation of Responses: (1) On 11/13/02 exercised 24,000 options to purchase Class A Common Stock (24,000 options at $0.1.0625 per share). (2) Options are fully vested and immediately exercisable.
SIGNATURE OF REPORTING PERSON /S/ Berg, James E. DATE 11/13/02 -----END PRIVACY-ENHANCED MESSAGE-----