California | 001-15803 | 33-0314804 | ||
(State or other jurisdiction of incorporation) |
(Commission File Number) | (I.R.S. Employer Identification No.) |
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101 Enterprise, Suite 300, Aliso Viejo, California |
92656 | |||
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(Address of principal executive offices) |
(Zip Code) |
o | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) | |
o | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) | |
o | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) | |
o | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Item 5.02.
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Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers; Compensatory Arrangements of Certain Officers. |
Name | Title | New Salary | Bonus Payment | |||||||||
Keith A. Katkin | President & Chief Executive Officer |
$ | 373,248 | $ | 210,568 | |||||||
Randall E. Kaye, M.D. | Senior Vice President & Chief Medical Officer |
326,667 | 155,496 | |||||||||
Christine G. Ocampo | Vice President, Finance & Principal
Financial Officer |
197,820 | 62,878 |
Exhibit No. | Description | |
4.1(1)
|
Rights Agreement, dated as of March 5, 1999, by and between Avanir Pharmaceuticals and American Stock Transfer & Trust Company, as Rights Agent, which includes: as Exhibit A |
Exhibit No. | Description | |
thereto, the Form of Certificate of Determination of Series C Junior Participating Preferred Stock; as Exhibit B thereto, the Form of Right Certificate; and, as Exhibit C thereto, the Summary of Rights to Purchase Preferred Shares. | ||
4.2(2)
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Amendment No. 1 to Rights Agreement, dated November 30, 1999, by and between Avanir Pharmaceuticals and American Stock Transfer & Trust Company, as Rights Agent. | |
4.3(3)
|
Amendment No. 2 to Rights Agreement, dated April 4, 2008, by and between Avanir Pharmaceuticals and American Stock Transfer & Trust Company, as Rights Agent. | |
4.4
|
Amendment No. 3 to Rights Agreement, dated November 11, 2008, by and between Avanir Pharmaceuticals and American Stock Transfer & Trust Company, as Rights Agent. |
(1) | This exhibit is filed as an exhibit to the registrants Current Report on Form 8-K filed March 11, 1999 and is incorporated herein by reference. | |
(2) | This exhibit is filed as an exhibit to the registrants Current Report on Form 8-K filed December 3, 1999 and is incorporated herein by reference. | |
(3) | This exhibit is filed as an exhibit to the registrants Registration Statement on Form 8-A/A filed April 10, 2008 and is incorporated herein by reference. |
November 12, 2008 | Avanir Pharmaceuticals |
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By: | /s/ Christine G. Ocampo | |||
Christine G. Ocampo | ||||
Vice President, Finance | ||||
Exhibit No. | Description | |
4.1(1)
|
Rights Agreement, dated as of March 5, 1999, by and between Avanir Pharmaceuticals and American Stock Transfer & Trust Company, as Rights Agent, which includes: as Exhibit A thereto, the Form of Certificate of Determination of Series C Junior Participating Preferred Stock; as Exhibit B thereto, the Form of Right Certificate; and, as Exhibit C thereto, the Summary of Rights to Purchase Preferred Shares. | |
4.2(2)
|
Amendment No. 1 to Rights Agreement, dated November 30, 1999, by and between Avanir Pharmaceuticals and American Stock Transfer & Trust Company, as Rights Agent. | |
4.3(3)
|
Amendment No. 2 to Rights Agreement, dated April 4, 2008, by and between Avanir Pharmaceuticals and American Stock Transfer & Trust Company, as Rights Agent. | |
4.4
|
Amendment No. 3 to Rights Agreement, dated November 11, 2008, by and between Avanir Pharmaceuticals and American Stock Transfer & Trust Company, as Rights Agent. |
(1) | This exhibit is filed as an exhibit to the registrants Current Report on Form 8-K filed March 11, 1999 and is incorporated herein by reference. | |
(2) | This exhibit is filed as an exhibit to the registrants Current Report on Form 8-K filed December 3, 1999 and is incorporated herein by reference. | |
(3) | This exhibit is filed as an exhibit to the registrants Registration Statement on Form 8-A/A filed April 10, 2008 and is incorporated herein by reference. |