-----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, Ckoc2dAiD7EtDMRU2DBbqaioi3is7r4mKRH2qB/REJsvgM4Jdqp426wD5JrT+JrU AB+14IH4JIgkJslH/kh8fA== 0000936392-02-001519.txt : 20021209 0000936392-02-001519.hdr.sgml : 20021209 20021209144916 ACCESSION NUMBER: 0000936392-02-001519 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021206 FILED AS OF DATE: 20021209 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: 02852127 BUSINESS ADDRESS: STREET 1: 11388 SORRENTO VALLEY ROAD STREET 2: STE 200 CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 8586225200 MAIL ADDRESS: STREET 1: 11388 SORRENTO VALLEY ROAD 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: HANSEN JOHN DAVID CENTRAL INDEX KEY: 0001186123 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 a86417f1e4.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 12/02 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 12/06/02 G (1) 30,000 D 0 D Direct Class A Common Stock 45,000 I by Daughter Class A Common Stock 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 December 6, 2002, Mr. Hansen transfered 30,000 shares of Avanir Class A common stock to the San Diego Foundation, a charitable organization. There is no consideration in this transacation and it is a bona fide gift.
SIGNATURE OF REPORTING PERSON /S/ Hansen, J. David DATE 12/06/02 -----END PRIVACY-ENHANCED MESSAGE-----