4 1 a86280f4e4.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) Hansen, J. David 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 Commercial 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 11/26/02 G (1) 90,000 D 30,000 D Direct Class A Common Stock 11/26/02 G (1) 45,000 A 45,000 I by Daughter Class A Common Stock 11/26/02 G (1) 45,000 A 45,000 I by Son Class A Common Stock, no par value 5,000 I by Trust 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 $1.0000 09/14/08 to buy) Incentive Stock Option (right $3.2900 03/14/12 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 $4.8450 03/15/02 07/16/11 (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 50,000 50,000 D Direct to buy) Incentive Stock Option (right Class A Common Stock 100,000 100,000 D Direct to buy) Incentive Stock Option (right Class A Common Stock 50,000 50,000 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 62,000 62,000 D Direct (right to buy) Explanation of Responses: (1) On November 27, 2002, Mr. Hansen transfered 45,000 shares of Avanir Class A common stock to each of his two children under the Unifo rm Gift to Minors Act.
SIGNATURE OF REPORTING PERSON /S/ By: Gregory P. Hanson For: J. David Hansen DATE 11/27/02