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