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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SILVERSTEIN JONATHAN 11388 SORRENTO VALLEY ROAD, SUTIE 200 SAN DIEGO, CA 92121 |
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By: Gregory P. Hanson - Attorney in Fact For: Jonathan Todd Silverstein | 04/11/2005 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The reporting person is a partner of OrbiMed Capital II LLC amd OrbiMed Advisors LLC. OrbiMed Capital II LLC is the General Partner of Caduceus Private Investments II, LP and Caduceus Private Investments II (QP), LP. OrbiMed Advisors LLC is a member of the Managing Member of UBS Juniper Crossover Fund, L.L.C. On April 8, 2005, Caduceus Private Investments II, LP purchased 600,650 shares, Caduceus Private Investments II (QP), LP purchased 224,896 shares and UBS Juniper Crossover Fund, L.L.C. purchased 74,454 shares of Class A common stock of Avanir Pharmaceuticals in a public offering pursuant to a prospectus dated April 5, 2005. Caduceus Private Investments II, LP owns an aggregate of 5,856,339 shares, Caduceus Private Investments II (QP), LP owns an aggregate of 2,192,734 shares and UBS Juniper Crossover Fund, L.L.C. owns an aggregate of 725,927 shares of Class A common stock of Avanir Pharmaceuticals following the completion of such offering. |
(2) | The reporting person disclaims beneficial ownership except to the extent of his pecuniary interest. This report shall not be deemed an admission that the reporting person is a beneficial owner for the purpose of Section 16 of the Exchange Act of 1934, as amended, or for any other purpose. |