-----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, T3YeNkjViCUkcsUukj1gPE+coopp/5a0YwEPtBVDigM0FrXFLOcoXHk8JzWSltdO phqMXnCkyUfnlZ124s4kAw== 0000932440-08-000573.txt : 20080910 0000932440-08-000573.hdr.sgml : 20080910 20080910195205 ACCESSION NUMBER: 0000932440-08-000573 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080908 FILED AS OF DATE: 20080910 DATE AS OF CHANGE: 20080910 ISSUER: 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 BUSINESS ADDRESS: STREET 1: 101 ENTERPRISE STREET 2: SUITE 300 CITY: ALISO VIEJO STATE: CA ZIP: 92656 BUSINESS PHONE: 949-389-6700 MAIL ADDRESS: STREET 1: 101 ENTERPRISE STREET 2: SUITE 300 CITY: ALISO VIEJO STATE: CA ZIP: 92656 FORMER COMPANY: FORMER CONFORMED NAME: LIDAK PHARMACEUTICALS DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHREIBER ALAIN CENTRAL INDEX KEY: 0001225149 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15803 FILM NUMBER: 081066134 BUSINESS ADDRESS: BUSINESS PHONE: 6099193567 MAIL ADDRESS: STREET 1: 90 NASSAU STREET STREET 2: 5TH FLOOR CITY: PRINCETON STATE: NJ ZIP: 08542 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Moorin Jay CENTRAL INDEX KEY: 0001033508 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15803 FILM NUMBER: 081066135 BUSINESS ADDRESS: STREET 1: C/O PROQUEST INVESTMENTS, L.P. STREET 2: 600 ALEXANDER PARK CITY: SUITE 204 STATE: NJ ZIP: 08540 BUSINESS PHONE: 6099193567 MAIL ADDRESS: STREET 1: C/O PROQUEST INVESTMENTS, L.P STREET 2: 90 NASSAU STREET, 5TH FLOOR CITY: PRINCETON STATE: NJ ZIP: 08542 FORMER NAME: FORMER CONFORMED NAME: MOORIN JAY DATE OF NAME CHANGE: 19970213 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2008-09-08 0000858803 AVANIR PHARMACEUTICALS AVNR 0001033508 Moorin Jay C/O PROQUEST INVESTMENTS 90 NASSAU STREET, 5TH FLOOR PRINCETON NJ 08542-4520 0 0 1 0 0001225149 SCHREIBER ALAIN C/O PROQUEST INVESTMENTS 90 NASSAU STREET, 5TH FLOOR PRINCETON NJ 08542-4520 0 0 1 0 Class A Common Stock 2008-09-08 4 P 0 125000 .95 A 8629307 I See footnote Class A Common Stock 2008-09-09 4 P 0 146400 .92 A 8775707 I See footnote Class A Common Stock 2008-09-10 4 P 0 48103 .91 A 8823810 I See footnote Warrants to Purchase Class A Common Stock 1.43 2008-04-04 2013-04-04 Class A Common Stock 2708849 2708849 I See footnote Constitutes the weighted average purchase price for multiple transactions reported on this line having prices per share ranging from $.93 to $.95. The Reporting Persons will provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding each separate transaction. Of the shares reported in this transaction: 41,667 were acquired by ProQuest Investments III, L.P. ("Investments III"), of which ProQuest Associates III LLC ("Associates III") is the general partner, and 83,333 were acquired by ProQuest Investments IV, L.P. ("Investments IV"), of which ProQuest Associates IV LLC ("Associates IV") is the general partner. Of the total shares reported: 2,876,437 are owned by Investments III, and 5,752,870 are owned by Investments IV. Jay Moorin and Alain Schreiber are managing members of Associates III and Associates IV. Each of the Reporting Persons disclaims beneficial ownership of such securities except to the extent of each Reporting Person's pecuniary interest in such securities. Constitutes the weighted average purchase price for multiple transactions reported on this line having prices per share ranging from $.90 to $.94. The Reporting Persons will provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding each separate transaction. Of the shares reported in this transaction: 48,800 were acquired by Investments III, and 97,600 were acquired by Investments IV. Of the total shares reported: 2,925,237 are owned by Investments III, and 5,850,470 are owned by Investments IV. Each of the Reporting Persons disclaims beneficial ownership of such securities except to the extent of each Reporting Person's pecuniary interest in such securities. Of the shares reported in this transaction: 16,034 were acquired by Investments III, and 32,069 were acquired by Investments IV. Of the total shares reported: 2,941,271 are owned by Investments III, and 5,882,539 are owned by Investments IV. Each of the Reporting Persons disclaims beneficial ownership of such securities except to the extent of each Reporting Person's pecuniary interest in such securities. Of such warrants: 902,950 are owned by Investments III, and 1,805,899 are owned by Investments IV. The warrants contain a limitation on exercise, which, in combination with an agreement between the Reporting Persons and Avanir Pharmaceuticals, prevent the Reporting Persons from exercising any warrants if, after giving effect to the exercise the Reporting Persons would in the aggregate beneficially own more than 9.99% of the outstanding shares of Class A Common Stock. Each of the Reporting Persons disclaims beneficial ownership of such securities except to the extent of each Reporting Person's pecuniary interest in such securities. /s/ Pasquale De Angelis as Attorney-in-Fact 2008-09-10 -----END PRIVACY-ENHANCED MESSAGE-----