-----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, V/K9U64Edqxr8FHp3HemWIs2DsEvMO/Zf8fLlHpH3X3lYIQ6yInXmOb8xFMQ14Y8 cmmUH8PUphLIshL+gBMVOw== 0000936392-03-000301.txt : 20030317 0000936392-03-000301.hdr.sgml : 20030317 20030317172224 ACCESSION NUMBER: 0000936392-03-000301 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030313 FILED AS OF DATE: 20030317 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15803 FILM NUMBER: 03606593 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: SMITH VICTORIA CENTRAL INDEX KEY: 0001222267 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 11388 SORRENTO VALLEY RD. CITY: SAN DIEGO STATE: CA ZIP: 92121 3 1 a88527oe3.txt FORM 3 - VICTORIA C. SMITH UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 1. Name and Address of Reporting Person Smith, Victoria C. 11388 Sorrento Valley Road, Suite 200 San Diego, CA 92121 2. Date of Event Requiring Statement (Month/Day/Year) 03/13/2003 3. I.R.S. Identification Number of Reporting Person, if an entity (Voluntary) 4. Issuer Name and Ticker or Trading Symbol AVANIR Pharmaceuticals (AVN) 5. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [X] Officer (give title below) [ ] Other (specify below) 6. If Amendment, Date of Original (Month/Day/Year) 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 Beneficially Owned - ----------------------------------------------------------------------------------------------------- 1)Title of Security 2)Amount of 3) 4)Nature of Securities D Indirect Beneficially or Beneficial Owned I Ownership - -----------------------------------------------------------------------------------------------------
Table II Derivative Securitites Beneficially Owned - ------------------------------------------------------------------------------------------------------------------------------------ 1)Title of Derivative Security 2)Date Exercisable 3)Title and Amount of 4)Conver- 5)Ownership 6)Nature of and Expiration Date Securities Underlying sion or Form of Indirect (Month/Day/Year) Derivative Security exercise Derivative Beneficial price of Security Ownership Date Expira- Amount or Deri- Direct(D) Exer- tion Number of vative or cisable Date Title Shares Security Indirect(I) - ------------------------------------------------------------------------------------------------------------------------------------ Incentive Stock Option (right to (2) 03/13/13 Class A Common Stock 50,000 $1.1600 D Direct buy) Incentive Stock Option (right to (1) 02/19/09 Class A Common Stock 4,749 $0.7200 D Direct buy) Incentive Stock Option (right to (1) 06/01/08 Class A Common Stock 5,996 $1.5000 D Direct buy) Incentive Stock Option (right to (1) 12/03/09 Class A Common Stock 10,000 $1.5500 D Direct buy) Incentive Stock Option (right to (1) 03/10/10 Class A Common Stock 8,311 $2.9060 D Direct buy) Incentive Stock Option (right to (1) 03/14/12 Class A Common Stock 7,500 $3.2900 D Direct buy) Incentive Stock Option (right to (1) 04/05/11 Class A Common Stock 7,500 $3.4000 D Direct buy)
Explanation of Responses: (1) On March 13, 2003, the reporting person became an officer of Avanir Pharmaceuticals. Form 3 is filed to report shares of Class A Common Stock owned by the reporting person on the date he/she became an officer. (2) Options vest as follows: One third vest one year from the date of grant, the final two thirds vest daily thereafter through the third anniversary of the option grant. SIGNATURE OF REPORTING PERSON /S/ Smith, Victoria C. DATE 03/14/03 Page 1
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